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Sample Compliance Calendar - Board of Directors
Mutual Funds and Exchange Traded Funds Regulation E3
Book Publication Date:
Sample board of directors compliance calendar for which may be helpful for development of quarterly board agendas
Other Document Templates, Checklists
PLI Item #:
Banking, Corporate & Securities
"Sample Compliance Calendar - Board of Directors"
"Director Questionnaire Completion/Update"
Audit Committee Financial Expert Determination
Renewal of Advisory Agreements and Distribution Arrangements
Independent Legal Counsel Determination
D&O/E&O Insurance Policy
Approval of Estimated Year-End Distribution Amounts
Approval of “Spillback” Distributions
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