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Results: 1-10 of 33

SEC Guidance on Payments to Financial Intermediaries
  • Foley & Lardner LLP
  • USA
  • March 31 2016

The SEC released guidance from the staff of the Division of Investment Management on issues that may arise when mutual funds make payments to


“Final order” in Supreme Court mutual fund fee case: more lessons for fund boards
  • Foley & Lardner LLP
  • USA
  • July 31 2015

Having decided Jones v. Harris 559 U.S. 335, 346 (2010), the US Supreme Court sent the case back to the 7th Circuit Court of Appeals for application


SEC enforcement action underscores importance of custody rule compliance
  • Foley & Lardner LLP
  • USA
  • February 27 2015

A SEC registered investment adviser to several registered mutual funds was the subject of a recent SEC enforcement action for violations of custody


SEC regulatory agenda items for mutual funds
  • Foley & Lardner LLP
  • USA
  • January 30 2015

The SEC's semi-annual regulatory agenda includes several agenda items of interest to mutual funds. The publication of semiannual regulatory agendas


SEC chair discusses mutual fund threats and potential SEC initiatives
  • Foley & Lardner LLP
  • USA
  • January 30 2015

In recent remarks, SEC Chair Mary Jo White discussed the SEC's regulation of the asset management industry in relation to evolving markets and the


Use of amortized cost valuation
  • Foley & Lardner LLP
  • USA
  • September 30 2014

As we reported in 2013, the U.S. Court of Appeals for the Seventh Circuit left open the possibility that insider trading prohibitions may apply to


Alternative investment strategies
  • Foley & Lardner LLP
  • USA
  • August 29 2014

Funds that use alternative investment strategies should be aware of the SEC focus on their use in mutual funds and should evaluate their policies and


Mutual funds and advisers should evaluate oversight of proxy advisory firms
  • Foley & Lardner LLP
  • USA
  • July 31 2014

The SEC has issued guidance regarding proxy advisory firms, in the form of 13 Questions and Answers, published in Staff Legal Bulletin No. 20 ("SLB


Will the IPO market keep its momentum
  • Foley & Lardner LLP
  • USA
  • June 5 2014

We've had a very active IPO market during the past year. A couple of reasons explain this phenomenon. First, institutional investors pulled back from


A compilation of enforcement and non-enforcement actions (July 2013)
  • Foley & Lardner LLP
  • USA
  • July 31 2013

In a recent decision by the U.S. Court of Appeals for the Seventh Circuit, the court has left open the possibility that insider trading prohibitions