Peter J. Shea

Peter J. Shea

Katten Muchin Rosenman LLP

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SEC Proposes Liquidity Management Rules for Mutual Funds and ETFs

On September 22, the Securities and Exchange Commission proposed a comprehensive package of rule reforms designed to enhance effective liquidity risk management by open-end funds, including mutual funds and exchange-traded...more

9/30/2015 - Asset Class Board of Directors Comment Period ETFs Independent Director Investment Company Act of 1940 Investment Funds Liquidity Risk Management Rule Mutual Funds NAV Proposed Regulation Registration Statement SEC White Paper

SEC Charges Eight Mutual Fund Directors for Failure on Valuations

On December 10, the Securities and Exchange Commission announced charges against eight former member of the boards of directors overseeing five mutual funds for violating their asset pricing responsibilities under the federal...more

12/29/2012 - Board of Directors Directors Enforcement Actions Fair Market Value Mutual Funds SEC Valuation

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