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Sample Compliance Calendar - Board of Directors


Book Publication Date: Jan 2021
Description: Sample board of directors compliance calendar for which may be helpful for development of quarterly board agendas
Type: Other Document Templates, Checklists
PLI Item #: 41386
Practice Area: Banking and finance, Exchange-traded funds, Financial services, Investment companies, Investment fund management, Mutual funds, Regulation and compliance (Banking and finance), Securities and other financial products

Keywords: "Sample Compliance Calendar - Board of Directors"; "annual items"; "Director Questionnaire Completion/Update"; Audit Committee Financial Expert Determination; Renewal of Advisory Agreements and Distribution Arrangements; Committee Charters; Independent Legal Counsel Determination; D&O/E&O Insurance Policy; Fidelity Bond; Approval of Estimated Year-End Distribution Amounts; Approval of “Spillback” Distributions; Board Self-Assessment; Audit Committee

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