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Another Mutual Fund Adviser Prevails at Trial in Excessive Fee Litigation

USA - March 15 2017 Following a four-day bench trial, Judge Renee Marie Bumb of the U.S. District Court for the District of New Jersey ruled in favor of an adviser on...

Seth M. Schwartz, Aaron T. Morris, Eben P. Colby.


Key Takeaways: Recent Investment Management Litigation and Regulatory Developments

USA - March 9 2017 On February 28, 2017, Skadden hosted a webinar titled “Recent Investment Management Litigation and Regulatory Developments.” The Skadden panelists...

Seth M. Schwartz, Colleen P. Mahoney, Eben P. Colby.


SEC Adopts Liquidity Risk Management Rules for Mutual Funds and Exchange-Traded Funds

USA - November 3 2016 On October 13, 2016, the Securities and Exchange Commission (SEC) voted to adopt Rule 22e-4, Rule 30b1-10 and Form N-LIQUID under the Investment...

Michael K. Hoffman, Kevin T. Hardy, Thomas A. DeCapo.


What Can Mutual Fund Boards and Advisers Learn From the AXA Trial Ruling?

USA - September 8 2016 In the first trial of a recent wave of cases under Section 36(b) of the Investment Company Act, Judge Peter G. Sheridan of the U.S. District Court...

Eben P. Colby, Thomas A. DeCapo.


SEC proposes liquidity management rules for open-end and exchange-traded funds

USA - October 9 2015 On September 22, 2015, the Securities and Exchange Commission (SEC) voted to propose a new Rule 22e-4 under the Investment Company Act of 1940 (the...

Michael K. Hoffman, Kevin T. Hardy, Thomas A. DeCapo.