Source: https://www.lawcatalog.com/fund-governance-legal-duties-of-investment-company-directors.html
Timestamp: 2019-08-20 10:41:38
Document Index: 276038042

Matched Legal Cases: ['§ 1', '§ 1', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 3', '§ 3', '§ 3', '§ 3', '§ 3', '§ 3', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 5', '§ 5', '§ 5', '§ 5', '§ 5', '§ 5', '§ 6', '§ 6']

663ONL
This book includes a fund board's legal duties under the federal securities laws/state corporate and trust law. It examines the impact of statutes and regulations, SEC guidance, and court cases.
978-1-58852-102-6
You're reviewing:Fund Governance: Legal Duties of Investment Company Directors
1282 (Size: 44.7 KB)
Robert A. Robertson is a partner with the Financial Services Practice Group of Dechert LLP, an international law firm. He regularly counsels investment advisers, mutual funds, closed-end funds, fund boards of directors, private funds and institutional investors. Mr. Robertson is Chair of the American Bar Association's Subcommittee on Investment Companies and Investment Advisers. He is also an Advisory Board Member of the Mutual Fund Directors Forum. He served as an attorney with the Securities and Exchange Commission from 1990 through 1997, where his most recent position was counselor to Commissioner Isaac C. Hunt, Jr.Mr. Robertson is a frequent lecturer and has written numerous articles on securities law topics. His articles have appeared in such publications as the Business Lawyer the Investment Lawyer the Stanford Journal of Law, Business & Finance, the Review of Securities & Commodities Regulation,The National Law Journal, and the Washington Post. Mr. Robertson is a graduate of Claremont McKenna College (B.A.), Loyola Marymount University (M.B.A.), and UCLA Law School (J.D.).
§ 1.01 Early History of Fund Governance
§ 1.02 1939 SEC Report on Investment Trusts
§ 2.02 Board Duties and Organizational Structure
§ 2.03 Guiding Principles
§ 2.04 Duty of Care
§ 2.05 Duty of Loyalty
§ 2.06 Other Responsibilities of Fund Boards Under State Law
§ 2.07 Chart: Comparison of Business Forms
§ 2.08 Chart: Comparison of Corporate Versus Fund Director Duties
§ 3.02 1970 Amendments
§ 3.03 Board Composition Requirements
§ 3.03A Conflicts of Interest Disclosure
§ 3.04 Independent Director Questionnaires
§ 3.05 Form: Independent Director Questionnaire
§ 3.06 Form: Independent Legal Counsel Memorandum
§ 4.02 Board Membership
[3] Director Recruitment
[4] Board Diversity
§ 4.03 Basic Board Structure
§ 4.04 Board Leadership and Committees
§ 4.05 Board Meetings
§ 4.06 Director Compensation
§ 4.06A Deferred Compensation Plans
§ 4.06B Director Fund Share Ownership
§ 4.07 Board Performance Evaluations
[4] Self-Assessment Questionnaire
§ 4.08 Retirement Policy and Term Limits
§ 4.09 Independent Legal Counsel
§ 4.09A Related SEC Exams
§ 4.10 Form: Drafting Guide and Audit Committee Charter
§ 4.11 Form: Nominating and Administration Committee Charter
§ 4.12 Form: Director and Officer Questionnaire
§ 4.13 Form: Board Self-Evaluation
§ 4.14 Form: Audit Committee Self-Evaluation
§ 4.15 Form: Board Meetings Calendar
§ 4.16 Forms: Trust Formation Written Consents
§ 4.17 Forms: Board Approval Resolutions
[8] Fund Mergers
[9] Other Matters
§ 4.18 Forms: Audit Committee Resolutions
§ 4.19 Forms: Independent Trustee Resolutions
§ 4.20 Form: Written Consent of Sole Shareholder
§ 5.01A Director Litigation Risk
§ 5.02 Indemnification
§ 5.03 Insurance
§ 5.04 Form: Indemnification Agreement (Sample 1)
§ 5.04A Form: Indemnification Agreement (Sample 2)
§ 5.05 Form: D&O Insurance Policy
§ 6.02 The Advisory Agreement
§ 6.03 Approval of “Written Contract”
[1] Sections 15(a)