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Securities and Exchange Commission Launches Share Class Selection Disclosure Initiative
  • Sidley Austin LLP
  • USA
  • February 13 2018

On February 12, 2018, the U.S. Securities and Exchange Commission (SEC or Commission) issued a press release announcing the Share Class Selection

Past, Present and Future of the DOL Fiduciary Rule
  • K&L Gates
  • USA
  • February 8 2018

The Department of Labor’s (“DOL”) fiduciary rule (“DOL Fiduciary Rule”) became applicable June 9, 2017, after an intense multiyear regulatory saga

SEC Chairman Clayton Addresses Senate Committee
  • Morrison & Foerster LLP
  • USA
  • October 2 2017

On September 26, 2017, SEC Chairman Jay Clayton delivered to the U.S. Senate Committee on Banking, Housing and Urban Affairs his first testimony as

Securities and Enforcement Update
  • McGuireWoods LLP
  • USA
  • September 29 2017

On Sept. 26, 2017, Securities and Exchange Commission Chairman Jay Clayton testified before the Senate Committee on Banking, Housing and Urban Affairs

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

DOL Issues Request for Information Regarding Fiduciary Rule
  • Morrison & Foerster LLP
  • USA
  • June 30 2017

On June 29, 2017, the Department of Labor (“DOL”) issued a Request for Information (“RFI”) in connection with its examination of the Final Fiduciary

No Delay to DOL Fiduciary Rule: June 9, 2017 Applicability Date Stands (For the Most Part)
  • Epstein Becker Green
  • USA
  • May 31 2017

The Department of Labor ("DOL") previously announced the applicability date for the DOL's fiduciary rule (the "Fiduciary Rule") will be June 9, 2017

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

Updated CHOICE Act Proposes to Impose Heightened Pleading Requirement and Raise Burden of Proof for Plaintiffs in Section 36(b) Cases Against Mutual Fund Advisers
  • Dechert LLP
  • USA
  • April 28 2017

The Chairman of the Financial Services Committee of the U.S. House of Representatives, Jeb Hensarling (R-TX), on April 19, 2017 released an updated

Ropes & Gray’s Investment Management Update: February 2017 - March 2017
  • Ropes & Gray LLP
  • USA
  • April 6 2017

The following summarizes recent legal developments of note affecting the mutual fundinvestment management industry: SEC Issues Guidance Update on