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Ogier | Cayman Islands | 3 May 2023
Enhancement of Cayman's corporate governance framework for regulated funds
In April 2023, further to a review of international standards, jurisdictional comparisons as well as regulatory and supervisory needs, the Cayman…
Fried Frank Harris Shriver & Jacobson LLP | USA | 2 May 2023
Broker-Dealer Fined for Mutual Fund Overcharges
A broker-dealer settled FINRA charges for failing to identify potential sales charge discounts on customers’ mutual fund transactions. In a Letter of…
Ogier | Cayman Islands, OECD | 31 Mar 2023
Cayman Islands closed-ended funds
This Briefing Note provides an overview of the process and legal considerations connected with establishing and operating a closed-ended fund in the…
Bennett Jones LLP | Canada | 8 Feb 2023
Ontario Court Refuses to Certify Class Proceeding Relating to Newly-Prohibited Conduct Without "Some Evidence of Illegality"
In Frayce v. BMO Investor Line Inc. et al, 2023 ONSC 16 [Frayce], the Ontario Superior of Justice refused to certify a class proceeding brought by…
Bowditch & Dewey LLP | USA | 10 Jan 2023
How Can I Have Capital Gains Tax When My Mutual Fund Lost Money?
Many mutual fund investors have seen their mutual fund investments drop 30% or more in 2022. The Fidelity Growth Company Fund …
Fried Frank Harris Shriver & Jacobson LLP | USA | 28 Nov 2022
Effective Date Set for Overhaul of Mutual Fund and ETF Disclosure Requirements
The effective date for SEC amendments designed to tailor mutual fund and ETF disclosures to the needs of retail investors will be January 24, 2023…
Bennett Jones LLP | Canada | 19 Oct 2022
Mutual Fund Dealers Association of Canada Announces Amalgamation with Investment Industry Regulatory Organization of Canada
On September 29, 2022, the members of the Mutual Fund Dealers Association of Canada (MFDA) and of the Investment Industry Regulatory Organization of…
Ogier | Cayman Islands | 8 Sep 2022
CIMA publishes revised regulatory procedures for the deregistration of Cayman Islands regulated funds
The Cayman Islands Monetary Authority (CIMA) has issued new regulatory procedures for Cayman Islands open-ended funds regulated under the Mutual Funds Act (Revised) and for closed-ended funds registered under the Private Funds Act (Revised) regarding their deregistration with CIMA, either at the end of the life of the fund or in certain limited circumstances where their regulatory status has......
Khaitan & Co | India | 5 Aug 2022
ERGO Analysing Developments Impacting Business: SEBI’s Framework Facilitating Mutual Fund Direct Plans Invested through Execution Only Platforms
As on 30 April 2022, the assets under management of the mutual fund (MF) industry in India stands at INR 38.04 lakh crore, with 45% of the total…
Mourant | Cayman Islands | 26 Jul 2022
Mutual funds in the Cayman Islands
The Cayman Islands is one of the world's leading offshore jurisdictions for the establishment of investment funds. As at June 2022, there were 12,935…
