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Results:1-10 of 2,147

The SFC’s asset management strategy for Hong Kong
  • Deacons
  • Hong Kong
  • September 21 2018

On 19 September 2018, Mr Ashley Alder, Chief Executive Officer of the Securities and Futures Commission (SFC), addressed members of the Hong Kong


India: SEBI extends time for KYC compliance
  • SS Rana & Co
  • India
  • September 19 2018

In order to promote investment in India, the Government designs investor- friendly policies. One of the modes of Investment in India is through


CSA’S Policy Decision Regarding Prospectus Qualified Mutual Fund Fees
  • Fasken
  • Canada
  • August 27 2018

On June 21, 2018, the Canadian Securities Administrators ("CSA") published CSA Staff Notice 81-330 Status Report on Consultation on Embedded


SEC issues investor alert about non-traditional index funds
  • Morrison & Foerster LLP
  • USA
  • August 10 2018

On August 6, 2018, concurrent with their release of an investor alert regarding index funds8, the United States Securities and Exchange Commission


Securities Litigation in Canada
  • Borden Ladner Gervais LLP
  • Canada, Global
  • July 16 2018

A structured guide to securities litigation in Canada


Registrants Face Significantly Increased Obligations under Proposed CSA Rule Amendments
  • McCarthy Tétrault LLP
  • Canada
  • July 11 2018

Recently, the Canadian Securities Administrators (CSA) published for comment important rule amendments to National Instrument 31-103 Registration


Canadian Securities Regulators Publish Revamped "Client Focused" Registrant Reform Proposals and Signal Policy Direction on Mutual Fund Embedded Compensation
  • Borden Ladner Gervais LLP
  • Canada
  • June 29 2018

The Canadian Securities Administrators’ ("CSA") long-standing initiatives to deal with the investor protection issues they consider associated with


Canadian Securities Regulators Publish Revamped "Client Focused" Registrant Reform Proposals and Signal Policy Direction on Mutual Fund Embedded Compensation
  • Borden Ladner Gervais LLP
  • Canada
  • June 29 2018

The Canadian Securities Administrators' ("CSA") long-standing initiatives to deal with the investor protection issues they consider associated with


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


Click-Here for Your Fund Report: SEC Endorses Web-Delivery and Asks for Comments
  • K&L Gates
  • USA
  • June 11 2018

On June 4, 2018, the Securities and Exchange Commission (“SEC”) adopted Rule 30e-3 (the “Rule”) to provide mutual funds, exchange-traded funds