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Results: 1-9 of 9

Advisers Must Offer Investors the Lowest-Fee Share Class Available
  • Thompson Hine LLP
  • USA
  • September 25 2017

The U.S. Securities and Exchange Commission (SEC) issued a cease-and-desist order (“Order”) to Envoy Advisory, Inc. (“Envoy”), a registered investment


Fund of Funds Investor Loses Appeal on Excessive Fee Case
  • Thompson Hine LLP
  • USA
  • August 2 2017

On July 24, 2017, the U.S. Court of Appeals for the Eighth Circuit affirmed a district court’s finding that a shareholder in a mutual fund operating


SEC Guidance for Funds Offering Sales Load Variations and New Share Classes
  • Thompson Hine LLP
  • USA
  • January 30 2017

The U.S. Securities and Exchange Commission (SEC) recently offered guidance to mutual funds that are considering variations in sales loads and new


SEC Adopts Rule Requiring Liquidity Risk Management Programs for Funds
  • Thompson Hine LLP
  • USA
  • October 24 2016

On October 13, 2016, the Securities and Exchange Commission (SEC or Commission) announced a final rule that requires open-end mutual funds (excluding


Advisers Fined for Steering Clients to Higher-Fee Funds
  • Thompson Hine LLP
  • USA
  • March 31 2016

On March 14, 2016, three dually registered investment advisersbroker-dealers agreed to a settlement with the Securities and Exchange Commission (SEC


Funds Must Disclose Risks Related to Current Market Conditions
  • Thompson Hine LLP
  • USA
  • March 22 2016

The Securities and Exchange Commission Division of Investment Management staff recently issued a Guidance Update to remind mutual funds, exchange


Supreme Court expands SOX whistleblower protection to service providers’ employees
  • Thompson Hine LLP
  • USA
  • March 11 2014

On March 4, 2014, the U.S. Supreme Court ruled that the Sarbanes-Oxley Act of 2002 (SOX) prohibits service providers to mutual funds (and all public


Donald S. Mendelsohn
  • Thompson Hine LLP