I. INTRODUCTION AND SUMMARY - The Securities and Exchange Commission (SEC) has proposed a bold new approach to shareholder and investor communications by investment companies registered on Form N-1A under the Investment...more
8/21/2020
/ Advertising ,
Asset Management ,
Disclosure Requirements ,
ETFs ,
Fees ,
Investment Funds ,
Investment Management ,
Securities and Exchange Commission (SEC) ,
Shareholders ,
Statements of Additional Information (SAIs) ,
Transaction Fees
LEGISLATIVE POLICY -
“In the exhaustive study of the industry which preceded passage of the [Investment Company] Act it was found that, in many instances, investment companies had been operated in the interests of their...more
A recent Ninth Circuit Court of Appeals opinion charts potential new pathways for claims for damages resulting from portfolio losses by mutual fund shareholders against both a fund’s trustees and its investment adviser....more