William Wade

William Wade

K&L Gates LLP

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SEC Enforcement Action Cites Bank for Operating Collective Investment Funds as Unregistered Investment Companies: Key Takeaways...

Banks and trust companies maintaining collective investment funds (CIFs) took notice when the U.S. Securities and Exchange Commission (SEC) announced enforcement proceedings on 30 September 2020 against Great Plains Trust...more

11/20/2020  /  Banks , Investment Adviser , Investment Company Act of 1940 , Investment Funds , Investment Management , Investment Trust Companies , Securities Act of 1933 , Securities and Exchange Commission (SEC)
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