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Canadian Investment Funds & Asset Management ( June 2005 )
"The mutual fund industry has been through a year unlike any other since prior to the adoption of the Investment Company Act of 1940…We have witnessed a period of great turmoil, outrage and shame in the fund industry. We are currently engaging in a process of cleansing, reassessment and restoration of confidence." -
Mutual Fund "Bad Apples" Haven't Spoiled the Barrel ( March 2004 )
In the last four months, the mutual fund industry has received more unfavorable publicity than it received in the preceding six decades. The SEC, the NASD, state attorneys general, and state securities commissions have launched investigations, and various reforms are being considered by the SEC and Congress. -
Proposed Rules For Mutual Fund Reports to Shareholders and Quarterly Portfolio Disclosure ( March 2003 )
In December 2002, the SEC proposed changes in the disclosures that mutual funds make in their reports to shareholders. -
Conflicts of Interest Rule Strengthened -Client Alert: September 15, 1999 ( September 1999 )
The SEC recently announced amendments to Rule 17j-l under the Investment Company Act of 1940. This article summarizes the most significant amendments to the Rule. -
SEC Proposes Independent Director Rules ( October 1999 )
The SEC has proposed rules to enhance the effectiveness of investment company directors. The proposed rules would . -
Conflicts of Interest Rule Strengthened ( September 1999 )
Fund directors are being asked to shoulder heavier responsibilities when it comes to codes of ethics. -
Fraud Claim Survives Where Cautionary Language Addressed Risk of Hedge Failure, But Not of Availability of Hedging Devices ( February 1999 )
The United States Court of Appeals for the Second Circuit recently reversed a decision of the Southern District of .
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