News & Analysis as of

Fund Distribution

Missing Participants – Out of Sight Out of Mind?

by Snell & Wilmer on

Imagine it’s March 31 and you are a retirement plan administrator. You have a participant who terminated employment 15 years ago. He turned 70½ last year and now you owe him his first required minimum distribution from the...more

Investment Funds Update: Europe - Legal and regulatory updates for the funds industry from the key asset management centres and...

by Dechert LLP on

CSSF Circular 17/654 Dated 17 May 2017 - The CSSF published its Circular addressed to credit institutions and certain PSFs regarding the sub-delegation for IT cloud services. The CSSF has also, inter alia, amended its...more

Financial Services Quarterly Report - Fourth Quarter 2016: UAE and Saudi Arabia Overhaul Fund Distribution Rules

by Dechert LLP on

Financial services regulators in the United Arab Emirates (UAE) and the Kingdom of Saudi Arabia (KSA) have recently made – independently of each other – extensive changes to the rules governing the regulation and distribution...more

Investment Management Update - March 2016

by Ballard Spahr LLP on

Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. SEC, FINRA...more

SEC Provides Long-Awaited Guidance on Fund Distribution and Sub-Accounting Fees

by Carlton Fields on

Guidance Update No. 2016-01, published this month by the SEC’s Division of Investment Management, provides extensive guidance concerning the possibility that payments from mutual funds are being used to promote sales of the...more

Permanent U.S. Withholding Tax Rules for Non-US Investors in RICs – A New Distribution Opportunity

by K&L Gates LLP on

U.S.-registered investment companies (“RICs”) historically have had limited success attracting investments from non-U.S. investors, in large part due to U.S. withholding taxes on fund distributions. This has allowed funds...more

Feds Dig for Disguised Fund Distribution Fees

by Carlton Fields on

A nearly two-year SEC sweep examination of mutual funds’ payments for distribution and other services appears to have concluded. Now, the question is what, if any, enforcement or other action the SEC will take....more

OSC Expects REIT Distributions Disclosure to Yield More Information

In the current low interest rate environment, yield-hungry investors have been particularly attracted to real estate investment trusts (REITs), which, as tax-efficient, flow-through investment vehicles, aim to pay regular...more

Yours, Mine, and Ours

by Moore & Van Allen PLLC on

Locally levied sales and use taxes make up the second largest source of tax revenues for counties and municipalities in North Carolina. Therefore, how these taxes are distributed among local governments can be very important...more

Financial Services Quarterly Report - Second Quarter 2013: Marketing and Distributing Your Fund in the Middle East: Recent...

by Dechert LLP on

Since the first Quarterly Report of 2013, there have been several interesting developments relevant to the establishment, marketing and distribution of funds and related services in the Middle East....more

OCIE to Target Adviser Payments for Fund Distribution, Funds with “Alternative” Strategies and New Advisers

by Morrison & Foerster LLP on

In an attempt to “increase transparency, strengthen compliance, and inform the public and the financial services industry about key risks,” the SEC’s Office of Compliance Inspections and Examinations (OCIE) published its 2013...more

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