Jay G. Baris

Jay G. Baris

Morrison & Foerster LLP

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MFDF Updates Best Practices – Fund Directors Should Be Independent and Fully Informed

The Mutual Fund Directors Forum updated its best practices recommendations for mutual fund directors. The October 13 report, Practical Guidance for Mutual Fund Directors – Board Governance and Review of Investment Advisory...more

11/1/2013 - Board of Directors Fiduciary Duty Mutual Funds

SEC Steps into Fund Boardroom Once Again; Charges Adviser with Misleading Board

The SEC charged a registered investment adviser and its principal with misleading a mutual fund’s board about the adviser’s portfolio management trading capabilities. The SEC said the adviser misled the board at two meetings...more

8/23/2013 - Board of Directors Funding Investment Advisers Act of 1940 Misleading Statements SEC

SEC Accuses Fund Directors of Breaching Their Valuation Duties

In a case involving fair valuation of structured notes, the SEC signaled that when investment company fund boards delegate the responsibility to fair value portfolio securities, they must provide “meaningful substantive...more

1/4/2013 - Board of Directors Enforcement Fiduciary Duty Investment Adviser SEC Valuation

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