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Results: 1-10 of 492

DOL Fiduciary RuleRecommended Action for Private Fund Managers
  • Pillsbury Winthrop Shaw Pittman LLP
  • USA
  • June 13 2017

On June 9, 2017, the Department of Labor (DOL) regulation updating the definition of “fiduciary” for purposes of ERISA became effective, along with a


Financial Services Update, Vol. 12, Issue 19
  • Winston & Strawn LLP
  • USA
  • May 8 2017

On May 3rd, the SEC proposed amendments to the definitions of “venture capital fund” and “assets under management” under rules 203(l)-1 and 203(m)-1


Update to Thai Funds Investment Regulations
  • Baker McKenzie
  • Thailand
  • January 30 2017

The Office of the Securities and Exchange Commission (SEC) has amended the investment regulations for Thai retail private funds, mutual funds and


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


A Case of Appendicitis: SEC Staff Guidance on Sales Load Variation Disclosures Sends Funds Scrambling
  • Morrison & Foerster LLP
  • USA
  • January 6 2017

A Guidance Update published in December 2016 by the SEC's Division of Investment Management has sent funds scrambling to beef up prospectus



Looking back and moving forward: CSA announces past achievement highlights and future business plan
  • Stikeman Elliott LLP
  • Canada
  • July 12 2016

The Canadian Securities Administrators (the CSA) recently published the highlights of their achievements over the past three years (the Highlights


Taxation of dividend income
  • Landwell
  • Czech Republic
  • October 17 2011

The Czech government has passed an amendment to the Income Taxes Act to Parliament that should be valid from 2013


Canadian regulators permit delivery of fund facts in lieu of simplified prospectus and release proposed ‘Stage 2’ point of sale amendments
  • Borden Ladner Gervais LLP
  • Canada
  • September 29 2011

The Canadian securities administrators (CSA) have granted exemptions to permit all dealers to deliver the Fund Facts documents to investors in the mutual funds managed by 48 specified fund managers, in place of the simplified prospectus


Mutual funds point-of-sale regime: moving to Stage 2
  • Fasken
  • Canada
  • September 28 2011

On August 12, 2011, the Canadian Securities Administrators (CSA) published for comment proposed amendments (Stage 2 Amendments) to National Instrument 81-101 Mutual Fund Prospectus Disclosure to implement Stage 2 of the point-of-sale (POS) disclosure regime