David Kotler

Section 47(b) Claim Under 1940 Act Dismissed Against a Mutual Fund's Distributor and Trustees for the Alleged Failure of Broker-Dealers that Receive Rule 12b-1 Fees to Register as Investment Advisers

A federal district court recently dismissed a complaint brought derivatively on behalf of a mutual fund seeking rescission, pursuant to Section 47(b) of the Investment Company Act of 1940, of the fund's distribution agreement…more
| Securities Law

Why Funds' RisK Management Strategy Must Address Insurance

In a recent article published by BoardIQ, Dechert partners Matthew L. Larrabee and David A. Kotler examine the increased risks now faced by mutual funds, as well as their trustees and investment advisers, stemming from the…more
| Securities Law
This profile may constitute attorney advertising. Prior results do not guarantee a similar outcome. Any correspondence with this profile holder does not constitute a client/attorney relationship. Neither the content on this profile nor transmissions between you and the profile holder through this profile are intended to provide legal or other advice or to create an attorney-client relationship.

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.

Already signed up? Log in here

*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.
×