Wealth & Investment Management Registered Funds 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' registered funds corporate governance issues, including those surrounding open-end mutual funds, exchange traded funds, closed-end mutual funds, & unit investment trusts. This is part of Tiburon's coverage of financial services industry corporate governance and its broader coverage of financial services industry planning & documents.

This research defines several distinct financial services industry registered funds corporate governance issues, including those surrounding:
  • Board Self-Governing Issues
  • Board Executive Oversight Issues
And this research makes several future predictions for financial services industry registered funds corporate governance, including:
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