News & Analysis as of

Distribution Rules Investment Adviser

Wiley Rein LLP

Investment Advisor’s Unauthorized Copying of Trade Publication Held Not to Constitute a Wrongful Act in the Performance of...

Wiley Rein LLP on

In a win for Wiley’s client, the Los Angeles County Superior Court, applying California law, granted an insurance tower’s motion for summary judgment, finding that an investment advisor’s unauthorized copying of a trade...more

Carlton Fields

More Fund Companies Sanctioned for Misusing Fund Assets for Distribution

Carlton Fields on

The SEC recently settled enforcement actions against William Blair and two Calvert companies for using mutual fund assets to pay distribution-related expenses in violation of Investment Company Act Rule 12b-1 and for certain...more

Ballard Spahr LLP

Investment Management Update

Ballard Spahr LLP on

Investment Adviser AXA Wins Excessive Fee Trial - A federal judge in New Jersey has ruled in favor of AXA Equitable Life Insurance Company (AXA Equitable) and its wholly owned subsidiary, AXA Equitable Funds Management...more

Carlton Fields

SEC Seeks Fund Responses to Distribution-In-Guise Guidance

Carlton Fields on

Since at least March 2016, SEC examiners have reportedly been checking whether mutual fund firms are complying with the SEC staff’s recent guidance on “distribution-inguise.” The guidance suggests that fund boards,...more

Skadden, Arps, Slate, Meagher & Flom LLP

"SEC Announces Enforcement Results for Fiscal Year 2015"

The Securities and Exchange Commission (the “SEC”) recently announced its enforcement results for fiscal year 2015. The release touted high-impact and first-of their-kind actions, as well as an increase in the number and...more

Manatt, Phelps & Phillips, LLP

Corporate Investigations & White Collar Defense - October 2015

"Wherefore Art Thou Due Process?" Part III - Why it matters: It is time for another installment in our continuing "Wherefore Art Thou Due Process?" coverage into the ongoing constitutional challenges to the SEC's...more

6 Results
 / 
View per page
Page: of 1

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