Mutual Funds

Boards should also think more broadly about the emerging problems of tomorrow and what issues they may be missing. In doing their jobs in ...

Three American International Group affiliates have been caught up in the SEC’s active probe of conflicts of interest and disclosure surrounding mutual fund share class ...

The latest effort by the SEC’s Division of Investment Management to encourage mutual fund, ETF and registered investment company advisers to disclose concerns about interest ...

The role of exchange-traded funds, private fund advisers, disclosure and that of boards of directors in fund oversight are current hot button areas for the ...

This Guidance Update is intended to address another important aspect of fund risk disclosure, namely, the changes in a fund’s susceptibility to risk that may ...

In adopting Rule 486(b) in 1994, the Commission recognized that Interval Funds may have a need to raise capital continuously, and therefore need continuously effective ...

Receipt of 12b-1 fees not only created a conflict of interest that was not adequately disclosed to EFG’s clients, but favoring 12b-1 funds over others ...

Thousands of unsuitable mutual fund switches and a failure to provide applicable breakpoint discounts will cost Barclays Capital $13.7 million for the suitability violations. In ...

All of that attention in recent years from OCIE on the issue of distribution-in-guise payments by mutual funds has resulted in new guidance from the ...

Rule 486(b) under the Securities Act, in relevant part, states that a post-effective amendment to a registration statement filed by a registered closed-end management investment ...