Jay G. Baris

Jay G. Baris

Morrison & Foerster LLP

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Latest Posts › Board of Directors


ICI Survey: Mutual Fund Independent Directors Are Getting Older and Wiser

Mutual fund directors are getting older and wiser as they oversee a growing amount of assets and number of funds, according to a governance study published by the Investment Company Institute on October 27, 2015....more

11/18/2015 - Audit Committee Board of Directors Corporate Governance Mutual Funds Surveys

Conflicts of Interest: When You're Having Too Much Fun at That Business Lunch

How should fund directors monitor gifts and entertainment received by investment adviser personnel? This question moved to the forefront in February, when the Securities and Exchange Commission’s Division of Investment...more

7/28/2015 - Board of Directors Broker-Dealer Chief Compliance Officers Compliance Conflicts of Interest Directors Division of Investment Management Gifts Investment Adviser Investment Advisers Act of 1940 Investment Companies Policies and Procedures SEC

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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