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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

In Eagerly Awaited Ruling, AXA Beats Excessive Fee Claim
  • Morgan Lewis
  • USA
  • September 9 2016

Following a 25-day bench trial, the US District Court for the District of New Jersey recently ruled against a group of plaintiff shareholders who

What Can Mutual Fund Boards and Advisers Learn From the AXA Trial Ruling?
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • September 8 2016

In the first trial of a recent wave of cases under Section 36(b) of the Investment Company Act, Judge Peter G. Sheridan of the U.S. District Court

Court Rejects Excessive Fee Claims Following Trial on Mutual Fund “Manager of Managers” Theory
  • Ropes & Gray LLP
  • USA
  • August 31 2016

On August 25, a federal court in the District of New Jersey issued a much-anticipated decision, finding after a lengthy trial that shareholder