Mutual Funds

You assert that the Fund, its shareholders and potential investors also would benefit if the Fund's Post-Effective Amendments that comply with the conditions of Rule ...

These proceedings arise out of breaches of fiduciary duty, inadequate disclosures, and deficiencies in compliance policies and procedures by Credit Suisse. Between January 1, 2009 ...

Two new releases from the SEC’s Division of Investment Management add clarity to two issues that may affect you.   1. Foreign affiliates that fall ...

Reflecting on these events, I think some useful lessons can be drawn. First, when fund complexes outsource critical functions to third parties, they should conduct ...

The SEC has taken another step in its ongoing efforts to improve transparency in the municipal securities market. The Commission approved March 1 proposed amendments ...

As we’ve already established (IA Watch, Oct. 20, 2016), you have plenty of time but lots of work ahead to comply with the SEC’s two ...

      Investment Company Act of 1940 — Rule 12d1-2 Dechert LLP — Request for Interpretation under Rule 12d1-2 January 25, 2017 RESPONSE OF ...

    Investment Company Act of 1940 — Rule 486(b) Invesco Senior Income Trust, et al. January 26, 2017 RESPONSE OF THE OFFICE OF CHIEF ...

Form N-1A is to be used by open-end management investment companies, except insurance company separate accounts and small business investment companies licensed under the United ...

There appears to be no interest at the SEC to push a uniform fiduciary duty standard but the agency has had to acknowledge that the ...