Mutual Fund Directors Forum

MFDF Events and Activities

The Mutual Fund Directors Forum hosts a variety of educational programs as a service to its membership. These events include multi-day conferences, some featuring case studies and breakout sessions, as well as more intimate roundtables and single-day seminars. They are designed to be educational and networking opportunities driven by current topics affecting our members.

For more information about these past events, please contact us at info@mfdf.com

Past Events

2008

2007
2006
2005

2008

Eighth Annual Policy Conference: “Critical Issues for Investment Company Directors”

April 17-18, 2008, Ritz-Carlton Hotel, Washington, DC

Open to directors and non-directors alike, the Forum's 8th annual Critical Issues Policy Conference brought leading industry experts together to discuss current topics important to mutual fund independent directors and other industry participants.

Featured Speakers:

Senator Jack Reed (Chairman of the Securities Subcommittee of the Senate Banking Committee)
Representative Michael Castle (member of the House Financial Services Committee)
SEC Commissioner Kathleen Casey (Appointed July, 2006)

A complete audio and video recording of the panels, speeches, and a full set of the course materials are available for purchase by nonmembers for $500. To order a set, please contact the Forum staff by email at info@mfdf.com or call us at (202) 728-0500. Members may access free audio recordings from the event, and obtain a set of conference videos by visiting the Members Only page.

Event Brochure Agenda

Directors only breakfast discussion of funds' use of derivatives

May 7 , 2008, Denver office of Old Mutual Capital.

One of a series of regional breakfasts for mutual fund directors, this event was open to both Forum members and non-members. These breakfasts offered the directors in different geographical regions to discuss issues surrounding funds' use of derivatives with each other and members of the Forum Staff. For additional information about the next regional event, please consult the Forum’s Calendar, or call us at 202-728-0500.

Directors only breakfast discussion of funds' use of derivatives

April 2, 2008, San Francisco office of K&L Gates.

Directors only breakfast discussion of funds' use of derivatives

March 7, 2008, Philadelphia office of Stradley, Ronon, Stevens & Young, LLP.

2nd Annual Directors' Institute

January 15 through 17, 2008

Sanibel Harbour Resort and Spa, Fort Myers, FL.

A "directors only" institute based on the case study method. This program was highly interactive and provided participants a valuable opportunity to learn not only from directors and fund management personnel, but from other independent directors as they worked together to address difficult issues.

Directors only breakfast discussion of funds' use of derivatives

January 9, 2008, Boston office of Dechert LLP.

2007

Funds' Use of Derivatives

November 8, 2007, Columbia University, New York, NY

A one-day seminar hosted by Columbia University and Professor Harvey Goldschmid designed to help directors understand the operation and uses of derivatives by mutual funds, as well as directors' oversight responsibilities in this important area.

A complete video recording of the panels and a full set of the course materials are available for purchase by nonmembers for $500. To order a set, please contact the Forum staff by email at info@mfdf.com or call us at (202) 728-0500. Members may obtain a set and get special pricing by visiting the Members Only page.

Securities Lending: Micromanagement v. Effective Oversight

October 29, 2007, hosted by KPMG, LLP in Chicago, IL

A one-day seminar featuring discussions by panels of fund industry experts on the practice of securities lending. These panels delved into the methodological, compliance, and operational issues that face mutual fund independent directors as they oversee this sophisticated investment strategy.

Financial Oversight Issues Facing Directors Today
Basic: "What Every Director Needs to Know"
October 23, 2007, PricewaterhouseCoopers, LLP, Philadelphia, PA

Advanced: "Complex Financial Oversight Issues Facing Directors Today"
October 30, 2007, KPMG, LLP, Chicago, IL
November 14, 2007, Deloitte & Touche, LLP, New York, NY

The Forum and the “Big Four” accounting firms reprised this highly informative series of one-day regional workshop programs introduced in 2005. In both the basic and advanced courses, directors will have a unique opportunity to discuss issues and share concerns with industry experts and a senior member of the SEC compliance staff.

To register for the remaining advanced accounting course January 30, 2007, at the University of South Florida in Tampa, FL, click here.

Members' Roundtable with SEC Staff
October 10, 2007, SEC Headquarters, Washington, DC

Forum Members’ Roundtables are unique opportunities to meet and interact with key members of the SEC Staff. Members’ Roundtables are held once or twice each year, and are open to all members of the Forum and members of the Forum’s Advisory Board. We encourage all members to consult the Forum's calendar for these periodic roundtables with the SEC Staff.

For information about the next Roundtable, please call us at 202-728-0500.

Directors only breakfast discussion of Rule 12b-1
June 21, 2007, Ballard Spahr Andrews Ingersoll, LLP, Denver CO.

One of a series of regional breakfasts for mutual fund directors, this event was open to both Forum members and non-members. These breakfasts offered the directors in different geographical regions to discuss issues surrounding rule 12b-1 with each other and members of the Forum Staff. For additional information about the next regional event, please consult the Forum’s Calendar, or call us at 202-728-0500.

Directors only breakfast discussion of Rule 12b-1
June 12, 2007, Ropes & Gray, LLP, Boston, MA

One of a series of regional breakfasts for mutual fund directors, this event was open to both Forum members and non-members. These breakfasts offered the directors in different geographical regions to discuss issues surrounding rule 12b-1 with each other and members of the Forum Staff. For additional information about the next regional event, please consult the Forum’s Calendar, or call us at 202-728-0500.

Assessing Profitability and Economies of Scale - Critical Judgment in Contract Renewal
Workshops from May 15, 2007 through November 12, 2007

These programs are regional workshops for independent trustees and directors of mutual funds, their support staff, and related personnel. Attendance is limited at these events to promote lively interaction and a managerial, rather than legal or accounting focus. See Brochure and Register

Members' Roundtable with SEC Staff
May 9, 2007, K&L Gates LLP, Washington, DC

For information about the next Roundtable, please call us at 202-728-0500.

Seventh Annual Policy Conference
April 12-13, 2007, Four Seasons Hotel, Washington, DC.

The Forum presented its seventh annual Critical Issues Conference bringing together leading industry experts to discuss topics important to mutual fund independent directors and other industry participants. Featured speakers included: Chairman Christopher Cox, Commissioner Annette L. Nazareth, Division of Enforcement Director, Linda Chatman Thomsen, and Division of Investment Management Director, Andrew J. Donohue.
Click here for the conference brochure (pdf)

A full set of course materials and panel recordings for the 2007 Policy Conference is available to the public on CD-ROM for $400. To order a set, please contact the Forum staff by email at info@mfdf.com or call us at (202) 728-0500. Members may obtain a set and get special pricing by visiting the Members Only page.

First Annual Directors Institute
February 28 – March 2, 2007, Coral Gables, FL

The First Annual Directors' Institute was held in Coral Gables, FL, February 28-March 2, 2007. The program provided in in-depth review of the Advisory Contract Renewal Process, using the case study methods for small group study.
Featured Speakers included Roel C. Campos, Commission, US Securities and Exchange Commission, Andrew J. Donohue, Director, Division of Investment Management, US Securities and Exchange Commission, and Matthew P. Fink, Independent Director; Former President, Investment Company Institute. Click here to view the event’s brochure

Securities Lending: The Board's Role," Micromanagement v. Effective Oversight January 25, 2007, Columbia University, New York, NY

Harvey Goldschmid, professor of law at Columbia University and Former SEC Commissioner facilitated discussions by fund industry experts on the practice of securities lending. These panels delved into the methodological, compliance, and operational issues that face mutual fund independent directors as they oversee this sophisticated investment strategy. Click here to view the event's brochure

2006

Complex Financial Oversight Issues Facing Directors Today
Basic: "What Every Director Needs to Know"
October 11, 2006, Deloitte &Touche LLP, Chicago, IL
October 25, 2006, KPMG, New York, NY

Advanced: "Complex Financial Oversight Issues Facing Directors Today"
November 9, 2006, PricewaterhouseCoopers LLP, Boston, MA
December 6, 2006, Ernst & Young LLP, Chicago, IL

Regional Workshops: "Setting Compensation for Trustees, Committee Chairs and the CCO: the E3 Approach"
November 13, 2006, Chicago, IL

These regional workshops for independent trustees of mutual funds, their support staff and related personnel, were sponsored by Mutual Fund Directors Forum and Management Practice.

Members' Roundtable with the SEC Staff
September 12, 2006, Washington, D.C.

For information about the next Roundtable, please call us at 202-728-0500.

Lifting the Veil - Investment Industry Trading Practices and Best Execution Workshop
June 7, 2006, Chicago, IL

This workshop focused on the different, and sometimes competing, interests and responsibilities of the board, the fund manager and the broker. Attendees were provided an opportunity to hear from, and engage in a dialogue with, fund directors, industry participants, and academics.
Targeted to the specific needs of fund directors and CCOs, attendees were provided with practical guidance, as well as specific recommendations, and took away tools necessary to help identify and foster high quality trading practices.

A full set of course materials and panel recordings for the "Lifting the Veil" presented on November 17, 2005 (see below) is available to the public on CD-ROM for $600. To order a set, please contact the Forum staff by email at info@mfdf.com or call us at (202) 728-0500. Members may obtain a set by visiting the Members Only page.

Enhancing Effectiveness: The Challenge of Advisory Contract Approval
April 20, 2006 - April 21, 2006, UCLA, Los Angeles, CA

The UCLA Anderson School of Management and the Mutual Fund Directors Forum will conducted a seminar for independent directors of mutual funds on the investment advisory contract review and renewal process. The seminar, which combined plenary sessions and small working groups, was designed to enhance the capacity of mutual fund independent directors to meet their stewardship responsibilities.

Sixth Annual Critical Issues Policy Conference
February 15, 2006 - February 16, 2006, Washington, D.C.

The Sixth Annual Policy Conference, "Critical Issues for Investment Company Directors," was held on February 15-16, 2006, at the Four Seasons Hotel, Washington, D.C.

2005

Mutual Fund Accounting and Financial Oversight: What Every Director Needs to Know.
Multiple Dates in 2005, Chicago, IL and New York, NY

These regional workshops, co-sponsored by the "Big Four" accounting firms, were designed to help directors understand their important oversight responsibility. Industry experts gave directors an overview of the principles of fund accounting, with an emphasis on "hot topics" in the industry. These workshops offered participants a unique opportunity to discuss issues with industry experts. Participants at each location had the opportunity to talk with a senior member of the SEC compliance staff.
Targeted specifically to audit committee members, these workshops offered practical guidance that will help all independent directors maneuver the complex world of fund accounting.

The Role of the Chairman Workshops
December 5, 2005, Washington, D.C.

These programs were a series of regional workshops for independent trustees of mutual funds, their support staff and related personnel in three modules: 1) Delineating the role and responsibilities of the independent chairperson, 2) Assessing the Chairman's compensation premium, and 3) Differentiating between good governance and micro-management under a new board structure, which includes a CCO.

Lifting the Veil - Investment Industry Trading Practices and Best Execution
November 17, 2005, New York, NY

A full set of course materials and panel recordings for "Lifting the Veil" is available to the public on CD-ROM for $600. To order a set, please contact the Forum staff by email at info@mfdf.com or call us at (202) 728-0500. Members may obtain a set by visiting the Members Only page.

For information about programs prior to 2005, please call us at 202-728-0500 or email us at info@mfdf.com.