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Article

What Independent Directors Should “Request” of Mutual
Fund Advisers

John A. Haslem
The Journal of Index Investing Fall 2010, 1 (2) 50-55; DOI: https://doi.org/10.3905/jii.2010.1.2.050
John A. Haslem
is a professor emeritus of finance in the Robert H. Smith School of Business at the University of Maryland in College Park, MD.
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  • For correspondence: jhaslem@rhsmith.umd.edu
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Abstract

The background to this study is recognition of the failure of mutual fund independent directors to fulfill their obligations as “shareholder watchdogs” under the Investment Company Act of 1940. This article presents reasons for the failure, as well as a discussion of U.S. District Judge Feess’ opinion in a mutual fund case dealing with excessive fees. The author believes that, in order to achieve normative transparency of information, independent directors and advisers of major funds known for shareholder stewardship must strongly, vigorously, and proactively work together to gain approval in Congress and/or the SEC.

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The Journal of Index Investing: 1 (2)
The Journal of Index Investing
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Fall 2010
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What Independent Directors Should “Request” of Mutual
Fund Advisers
John A. Haslem
The Journal of Index Investing Aug 2010, 1 (2) 50-55; DOI: 10.3905/jii.2010.1.2.050

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What Independent Directors Should “Request” of Mutual
Fund Advisers
John A. Haslem
The Journal of Index Investing Aug 2010, 1 (2) 50-55; DOI: 10.3905/jii.2010.1.2.050
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  • Article
    • Abstract
    • NORMATIVE TRANSPARENCY DISCLOSURE
    • MOTIVATION OF INDEPENDENT DIRECTORS
    • THE COURT AND GARTENBERG
    • THE COURT AND INDEPENDENT DIRECTORS
    • INDEPENDENT DIRECTOR REQUESTS
    • LOOKING TO THE FUTURE
    • CONCLUSION
    • REFERENCES
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