We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance

Results:1-10 of 588

Declining to Follow Northstar, New York Federal Court Dismisses Breach of Contract Claim Against Mutual Fund for Purported Violation of Concentration Policy
  • Ropes & Gray LLP
  • USA
  • October 24 2018

In a victory for the mutual fund industry, a federal district court in New York rejected the attempt of fund shareholders to assert a breach of

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

Department of Labor Warns about Socially Responsible Investing and Shareholder Activism
  • Kilpatrick Townsend & Stockton LLP
  • USA
  • April 30 2018

On April 23, 2018, the Department of Labor (DOL) issued Field Assistance Bulletin 2018-01 (FAB 2018-1) warning its national and regional offices that

Treasury Report, Part II: Regulation of the Capital Markets
  • Morrison & Foerster LLP
  • USA
  • October 10 2017

The U.S. Department of the Treasury ("Treasury Department" or "Treasury") issued its second report (of four reports), titled "A Financial System that

Proxy Voting and Interpretive Bulletin 2016-01
  • Husch Blackwell LLP
  • USA
  • April 3 2017

On December 29, 2016, the Department of Labor (DOL) issued Interpretive Bulletin 2016-01 (the “Bulletin”) relating to the exercise of shareholder

Investment Management Legal Regulatory Update - February 2017
  • Morrison & Foerster LLP
  • USA
  • February 3 2017

On January 13, 2017, the U.S. Department of Labor...

Mutual Funds Come Clean: Brokers Can Set Fund Share Sales Charges
  • Morrison & Foerster LLP
  • USA
  • January 23 2017

The staff of the SEC's Division of Investment Management effectively allowed brokers to determine the commissions they will charge their customers

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

SEC Approves New Liquidity Risk Management Rules for Certain Open-End Funds and Rules to Modernize and Enhance Reporting By Registered Investment Companies
  • Paul Hastings LLP
  • USA
  • October 14 2016

On October 13, 2016, the Securities and Exchange Commission (“SEC”) adopted a set of broad and sweeping rules mandating that certain open-end management investment