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Webinar on Beyond Morgan Keegan—Valuation, Compliance, and Enforcement Issues for Directors 

Recent SEC enforcement actions against fund directors highlight the board’s critical role in overseeing fund compliance generally and valuation processes specifically. On September 26, 2013, panelists talked about the implications of these actions for directors going forward.

MATERIALS

HIGHLIGHTS

A panel of experts discussed:

  • The SEC's enforcement and examinations activities, as they relate to funds and directors
  • Board oversight of fair valuation, including fair valuation methodologies and the use of pricing services
  • Fund compliance programs, and the board’s annual approval and oversight of policies and procedures

Featured speakers:

  • Chad B. Gazzillo, Partner, KPMG LLP
  • Bruce G. Leto, Partner, Stradley Ronon Stevens & Young, LLP
  • James Zug, Independent Director, Allianz Funds and Brandywine Funds
  • Amy B. R. Lancellotta, Managing Director, Independent Directors Council, Moderator

The webinar was closed to the media.