Emily Shea

Emily Shea

Dechert LLP

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U.S. Fund Litigation Update: Where We are Now and Where We Could be Headed

Five years removed from the credit crisis and “great recession” of 2008, the U.S. fund industry still faces substantial litigation risk, both in terms of ongoing cases that challenge the core of the advisory/sub-advisory...more

3/28/2014 - Investment Companies Investment Company Act of 1940 Investment Funds SEC Securities Act of 1933 Securities Exchange Act

Former Morgan Keegan Directors Settle Valuation Case

The U.S. Securities and Exchange Commission issued a cease and desist order on June 13, 2013 (the “Order”) against former members of the boards of directors (the “RMK Directors” or the “RMK Boards”) of five Regions Morgan...more

7/3/2013 - Board of Directors Business Assets Directors Enforcement Investment Companies Investment Company Act of 1940 SEC Settlement Subprime Mortgages Valuation

SEC Targets Another Fund Board in Recent Enforcement Case

The U.S. Securities and Exchange Commission (“SEC”) recently issued an Order Instituting Proceedings (“Order”) against the administrator and compliance services provider, as well as current and former members of the boards of...more

5/23/2013 - Board of Trustees Compliance Disclosure Requirements Enforcement Penalties Recordkeeping Requirements Reporting Requirements SEC

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