Mutual Fund Compliance Officer Independence And Corporate Governance

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Mutual Fund Compliance Officer Independence and Corporate ...

https://onlinelibrary.wiley.com/doi/abs/10.1111/j.1467-8683.2008.00659.x

Mar 03, 2008 · Practitioner/Policy Implications: We contend that the SEC and other international regulators could improve independence and corporate governance even further if they required mutual fund compliance officers to be totally independent of management, by not allowing them to be employees of investment adviser companies.Cited by: 5

Mutual Fund Compliance Officer Independence and Corporate ...

https://papers.ssrn.com/sol3/papers.cfm?abstract_id=1103293

Mar 06, 2008 · We contend that the SEC and other international regulators could improve independence and corporate governance even further if they required mutual fund compliance officers to be totally independent of management, by not allowing them to be employees of investment adviser companies.The direct reporting relationship established by Rule 38a-1 between mutual fund compliance officers and boards of directors sets the industry apart from corporate …Cited by: 5

Mutual Fund Compliance Officer Independence and Corporate ...

https://www.researchgate.net/publication/4989203_Mutual_Fund_Compliance_Officer_Independence_and_Corporate_Governance

MUTUAL FUND COMPLIANCE OFFICER INDEPENDENCE AND CORPORATE GOVERNANCE Carroll, B. (2004) The Mutual Fund Trading Scandals, Journal of Accountancy 198, 32–36. The Mutual Fund Trading Scandals Jan 2004

Mutual Fund Compliance Officer Independence and Corporate ...

https://www.deepdyve.com/lp/wiley/mutual-fund-compliance-officer-independence-and-corporate-governance-5xYBwPXYG6

Jan 01, 2008 · Mutual Fund Compliance Officer Independence and Corporate Governance Hoffman, W. Michael; Neill, John D.; Stovall, O. Scott 2008-01-01 00:00:00 ABSTRACT Manuscript Type: Empirical Research Question/Issue: We examine recent SEC regulations that are intended to increase the independence of mutual fund compliance officers. Research Findings/Insights: The new SEC regulations require mutual fund compliance officers …

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Mutual Fund Compliance Officer Independence and Corporate ...

Mutual Fund Compliance Officer Independence and Corporate ...

Mutual Fund Compliance Officer Independence and Corporate ...

Mutual Fund Compliance Officer Independence and Corporate ...

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