Fund Director's Guidebook, Fifth Edition

By: ABA Business Law Section Federal Regulation of Securities Committee

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Paperback | 1 April 2025

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Format
Paperback

Dimensions(cm)
22.8 x 15.2

Paperback

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This updated fifth edition reflects a large number of updates since 2015, covering significant completed and pending rulemakings and other initiatives by the SEC, including those relating to the following: liquidity risk and cybersecurity risk management; exchange traded funds; the use of funds of derivatives; fair valuation; funds investing in other funds; money market fund ("MMF") reformfund names; environmental (including climate), social, and governance ("ESG") investing; and industry developments including LIBOR transition, responses to the COVID-19 pandemic, and greater focus on diversity, equity, and inclusion.

To assist directors of investment companies registered under the Investment Company Act of 1940 in fulfilling their responsibilities, this guide provides:

an overview of functions, responsibilities, and potential liabilities of fund directors, under both the federal securities laws (including the 1940 Act) and corporate law generally;
information about the structure and operations of the board and its relationship to the investment adviser, the distributor, and others important to the fund;
assistance to directors in discharging their responsibilities by providing them with enough information to enable them to understand their duties and to ask the right questions;
suggestions as to how independent directors can best fulfill their responsibilities by reference to industry practice and legal requirements;
and more.

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