David Freese

David Freese

Morgan Lewis

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SEC Warns About Exemptive Order Compliance

Division of Investment Management's guidance reminds firms to comply with conditions and representations in exemptive orders and notes that consequences for noncompliance may be "severe."...more

5/20/2013 - Compliance ETFs Exemptive Orders OCIE OIG SEC

SEC Settles Suit for Misleading Advisory Contract Approval Disclosure

Settlement with mutual fund directors and service providers serves as a reminder of responsibilities for disclosures relating to the approval of investment advisory contracts and provides insight into SEC enforcement...more

5/10/2013 - Advisory Contracts Disclosure Requirements Investment Adviser Investment Company Act of 1940 Mutual Funds SEC Settlement

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