Wealth & Investment Management Corporate Governance:

Boards & their Responsibilities

Recently Released!!!
Date Published: August 7, 2019
Summary PowerPoint Deck: 41 Slides
Reference PowerPoint Deck: 307 Slides


The purpose of this research is to provide readers with an understanding of financial services institutions' corporate governance issues, including those surrounding public companies, private companies, registered funds, & private funds. This is part of Tiburons broader coverage of financial services industry planning & documents.

This research addresses the three historical phases of financial services industry corporate governance, including:
  • Emergence Phase
  • Maturation Phase
  • Challenges Phase
This research defines several distinct financial services industry corporate governance issues, including those surrounding:
  • Public Companies
    • Board Self-Governing Issues
    • Board Executive Oversight Issues
  • Private Companies
    • Board Self-Governing Issues
    • Board Executive Oversight Issues
  • Registered Funds
    • Board Self-Governing Issues
    • Board Executive Oversight Issues
  • Private Funds
    • Board Self-Governing Issues
    • Board Executive Oversight Issues
And this research makes several future predictions for financial services industry corporate governance, including:
  • New Realities in Corporate Governance
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