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Category Archives: Susan Mangiero

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Thank You for Blog of the Week Recognition

Posted in Disclosure and Transparency, Susan Mangiero
I was recently informed by Fiduciary News editor Chris Carosa that my blog post entitled “Effective Retirement Plan Communications” (January 8, 2017) was selected “Blog of the Week” for the second week of January. Thank you to Chris and his loyal readers. I really appreciate the recognition. It’s always terrific to get feedback about what topics… Continue Reading

Educational Webinar About Pension Risk Management

Posted in ERISA, Pension, Risk Management, Susan Mangiero
Please join Dr. Susan Mangiero on November 2, 2016 for a one hour online program about pension risk management. The webinar is sponsored by the Professional Risk Managers’ International Association (“PRMIA“) in recognition of the importance of the subject. This learning event qualifies for one Continuing Professional Education (“CPE”) credit. A program description is shown below. You can… Continue Reading

Fiduciary Rule Panel to Discuss Implementation

Posted in ERISA, Investment Management, Regulation, Susan Mangiero
Dr. Susan Mangiero will join a panel of esteemed experts to talk about the U.S. Department of Labor’s Fiduciary Rule on June 21, 2016. Sponsored by the Financial Women’s Association, New Jersey chapter, CPE credit is available (CLE credit is pending). Meeting at the Seton Hall School of Law in Newark, this timely event features the following speakers:… Continue Reading

Investment Vendor Due Diligence and the Fiduciary Rule

Posted in Compliance, Credit Risk, Disclosure and Transparency, Fiduciary Liability, Financial Reporting, Liquidity, Susan Mangiero
When I was a university professor and gave written homework, I frequently found myself in the position of having to remind students that reliance on a spell checker may not always produce good results. “I through the ball” is grammatically incorrect but would not reveal itself as an error. Someone would have to know that “threw” is… Continue Reading

Increased Regulation of Derivatives by Registered Funds

Posted in Derivatives, Disclosure and Transparency, International Investing, Investment Management, Mutual Funds, Regulation, Risk Management, Susan Mangiero, Trading
On December 11, 2015, the U.S. Securities and Exchange Commission (“SEC”) took steps to more actively regulate how derivative instruments are used by registered investment companies such as mutual funds, exchange-traded funds (“ETFs”), closed-end funds and business development companies. According to its Fact Sheet, a portfolio manager would have to either limit leverage via the use of derivatives to… Continue Reading

Puerto Rico and Its Bondholders

Posted in Credit Risk, Hedge Fund, Investment Management, Litigation, Municipal Bonds, Susan Mangiero
After a round of holiday hellos during dinner with a group of friends, the conversation turned to Puerto Rico and its financial distress. One gentleman at the table has a lot of his 401(k) account invested in municipal bonds, including a hefty allocation to Puerto Rico. Naturally he is nervously watching events and hoping for the best. From his… Continue Reading

Dr. Susan Mangiero Earns Certified Fraud Examiner (CFE) Credential at a Time When Global Fraud is Estimated at $3.7 Trillion Per Year

Posted in Fiduciary Liability, Fraud, Susan Mangiero
Dr. Susan Mangiero, financial expert and author, has earned the Certified Fraud Examiner (CFE) credential from the Association of Certified Fraud Examiners (ACFE), having successfully met the ACFE’s character, experience and education requirements for the CFE credential, and having demonstrated knowledge in four areas critical to the fight against fraud: Fraudulent Financial Transactions, Fraud Prevention… Continue Reading

Investment Compliance and the Nanny’s Right to Sue

Posted in Compliance, Governance, Investment Management, Risk Management, Susan Mangiero
I admit to reading the gossip magazines whenever I want a few minutes of fluff. I am never sure what is accurate but the stories make for five-minute intrigue. One recent example says it all. In a not so private tussle, an alleged affair between the husband of a Hollywood power duo and the couple’s… Continue Reading

Insights on Economic Analysis of Fiduciary Monitoring Disputes

Posted in ERISA, Fiduciary Liability, Investment Management, Litigation, Regulation, Susan Mangiero
While I typically avoid republishing posts from my other blog, Pension Risk Matters, there are numerous topics that are important to all types of investment industry professionals and not just those who work with retirement plan sponsors and participants. One such topic looks at investment monitoring and the fiduciary responsibilities to oversee and make changes,… Continue Reading

Excessive Fee Litigation and Public Pension Plans

Posted in Disclosure and Transparency, Fees, Investment Management, Pension, Private Equity, Susan Mangiero
Having just returned from a two-day ERISA litigation conference in Chicago, the topic of fee benchmarking is top of mind. During a rousing session about excessive fee allegations, plaintiffs’ counsel Greg Porter (partner with Bailey Glasser LLP) and defense counsel Eric S. Mattson (parter with Sidley Austin LLP) discussed fiduciary litigation, the Exclusive Benefit Rule,… Continue Reading

Pension Risk Blog For $28 Trillion Retirement Plan Industry

Posted in Susan Mangiero
Five years ago, valuation and risk management professional Dr. Susan Mangiero launched the first blog devoted exclusively to the topic of retirement plan governance and investment best practices. This unique blog, www.PensionRiskMatters.com, continues to serve as a resource for ERISA and public plan trustees, board members, actuaries, advisers, attorneys, auditors, consultants, money managers and regulators… Continue Reading

Dr. Susan Mangiero Speaks at ERISA Litigation Conference

Posted in ERISA, Litigation, Susan Mangiero
  Dr. Susan Mangiero, CFA, FRM joins an esteemed panel of speakers as part of “Conflicts in Plan Sponsor and Service Provider Relationships.” She is joined by: Attorney Michael J. Prame, Groom Law Group Attorney Elizabeth J. Bondurant, Smith Moore Leatherwood LLP and Attorney Bradley J. Schlichting. According to the agenda, the panel will address… Continue Reading