In The News

Asset Management Partner Paulita Pike Discusses SEC Interest in Board Governance in BoardIQ

Practices: Asset Management, Investment Management, Mutual Funds, ETFs & Closed-End Funds, Fund Boards of Directors / Trustees, Investment Management Compliance

SEC examiners conducting a sweep of certain kinds of mutual funds and ETFs recently reiterated their interest in governance and board oversight practices, reported BoardIQ in an article titled SEC on Board Oversight: ‘We’ll Beat This One to Death’. Asset management partner Paulita Pike is quoted in the piece on liquidity risk. “Some boards have been working with management to settle on what kind of template will be used to update directors on the liquidity program and what information will be included in it,” Ms. Pike says.

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