Articles

Results 1 to 4 of 4


A Touch Of Class: Mutual Fund Share Class Developments (Part 1)

USA - June 11 2018 Over the past two years, the mutual fund distribution and share class landscape has experienced considerable changes in light of several regulatory…

James V. Catano, Erica Evans, Shayna Gilmore, Jeffrey S. Puretz, Christine Ayako Schleppegrell

SEC Staff Grants a Closed-End Fund No-Action Relief Under Rule 486(b) Covering Securities Other Than Common Stock

USA - February 23 2018 The staff of the Division of Investment Management (Staff) of the U.S. Securities and Exchange Commission (SEC or Commission) on February 14, 2018…

Thomas J. Friedmann, Philip T. Hinkle, Erin Lett

Update on Regulatory Initiatives Regarding the Volcker Rule

USA - August 28 2017 As the general conformance period for banking entities to comply fully with Section 13 of the U.S. Bank Holding Company Act (Volcker Rule) and its…

Robert J. Rhatigan, David J. Harris, Brooke A. Higgs, Robert H. Ledig

SEC Form ADV SMA Amendments and Investment Adviser Recordkeeping Rules: Compliance Deadline Quickly Approaching

USA - June 27 2017 The October 1, 2017 compliance date for the amendments to Form ADV and to rule 204-2 (Recordkeeping Rule), as well as technical amendments to other…

Mark D. Perlow, Christine Ayako Schleppegrell, Michael L. Sherman