Boardroom Governance Video & Media Briefings
High-definition executive video presentations, audio podcast discussions, and quantitative governance toolkits tailored for 1940 Act mutual fund and closed-end fund independent directors.
Boardroom AI Governance: The Dual Mandate
An institutional governance briefing on the fiduciary dual mandate facing independent fund directors in the age of artificial intelligence — balancing enterprise AI tools for enhanced information throughput with the non-delegable oversight of adviser-deployed algorithmic models under the Investment Company Act of 1940, Delaware law, Section 15(c), and SEC Rule 2a-5.
Executive Briefings Screening Library
3 Full Masterclasses AvailableBoardroom AI Governance: The Dual Mandate
Fiduciary dual mandate facing fund directors: balancing internal productivity gains with non-delegable oversight of adviser algorithms under Delaware law, Section 15(c), and Rule 2a-5.
The Fiduciary Algorithm: Navigating AI Governance
Algorithmic accountability and quantitative model verification. Explores automated trading, valuation models under Rule 2a-5, and verification artifacts required for audit committees.
The Augmented Boardroom: Rebuilding Fiduciary Duty
Rebuilding board governance architectures for AI. Details technology committee charters, IT/AI budget evaluation, Regulation S-P cybersecurity safeguards, and Caremark liability defense.
Are Directors Liable for AI Errors?
An in-depth audio discussion on Caremark oversight liabilities, SEC regulatory enforcement risks, model risk audit documentation, and practical protective protocols for independent audit and risk committees.
Boardroom Governance Toolkits & Download Deck
Institutional Working PapersBoardroom AI Readiness Scorecard
Comprehensive Excel self-assessment diagnostic allowing nominating and governance committees to quantitatively score AI maturity, model inventory, and vendor risk across 5 operational pillars.
Representative Boardroom AI Policy
Complete model governance policy and committee charter provisions designed for direct adoption by mutual fund and closed-end fund boards to structure adviser reporting obligations.
Audit Committee AI & Cyber Oversight Guide
Strategic whitepaper detailing practical metrics for fund directors regarding SEC Regulation S-P cybersecurity safeguards, third-party vendor risk, and AI washing disclosures.
The Fiduciary Dual Mandate
Independent directors must balance the imperative to modernize operations with unyielding adherence to 1940 Act statutory standards of care, loyalty, and adviser oversight under 15 U.S.C. § 80a-15(c).
Augmented Oversight Systems
Deploying automated peer benchmarking, fee dispersion analytics, and SEC filing harvesters empowers directors to evaluate Section 15(c) contracts with mathematical precision.
SEC Examination Preparedness
Building rigorous Gartenberg Factor minutes, breakpoint schedules, and sub-advisory split documentation to satisfy evolving SEC Division of Examinations scrutiny.
Schedule a Private Boardroom Briefing
Arrange an executive presentation or interactive workshop tailored for your mutual fund, closed-end fund, or BDC board of directors presented by Frank J. Maresca.