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Christopher P. Harvey

Dechert LLP

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Establishing a European ETF

European Union - October 9 2017 An exchange traded fund (ETF) is an investment fund that is structured to allow intra-day trading of its shares on a stock exchange using real time...

Ari M. Zak, John V. O'Hanlon, Karen L. Anderberg, Douglas P. Dick, Stuart Strauss, Adam T. Teufel, Allison M. Fumai, Stephanie A. Capistron.

Federal Court Issues Trial Ruling in Section 36(b) “Manager of Managers” Lawsuit: AXA Advisory and Administrative Fees Held Not to Constitute a Breach of Fiduciary Duty

USA - September 20 2016 The U.S. District Court for the District of New Jersey issued its post-trial ruling on August 25, 2016 in Sivolella v. AXA Equitable Life Insurance...

Charlotte K. Newell, Catherine V. Wigglesworth, Jill R. Damon, David A. Kotler, Matthew L. Larrabee.

SEC Charges Private Equity Adviser for Unregistered Brokerage Activity

USA - June 14 2016 The U.S. Securities and Exchange Commission (SEC) on June 1, 2016 announced a settled enforcement action against a private equity fund manager...

K. Susan Grafton, Timothy Spangler, Elliott R. Curzon, Michael L. Sherman, David A. Vaughan.

The Brave New Fiduciary World Has Arrived - The DOL Tries to Find a More Ideal Balance in the Final “Investment Advice” Rules

USA - May 26 2016 The U.S. Department of Labor (the "DOL") on April 6, 2016 released the final version of its "investment advice" regulation and accompanying...

K. Susan Grafton, Stephen H. Bier, Julien Bourgeois, Susan M. Camillo, Andrew L. Oringer.

The 15(c) process continues to be a focus of the SEC enforcement staff

USA - August 13 2015 In both In the Matter of Commonwealth Capital Management, et al., SEC Rel. No. IC-31678 (June 17, 2015) (Commonwealth) and In the Matter of Kornitzer...

D. Brett Kohlhofer, Aaron D. Withrow, Catherine Botticelli.