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Investigations Mutual Funds

Harris Beach PLLC

SEC Examination Priorities for 2024

Harris Beach PLLC on

The United States Securities and Exchange Commission’s Division of Examinations announced its examination priorities for fiscal year 2024 on October 16, 2023. The timing of the announcement is significant because it is the...more

K&L Gates LLP

Fifth Circuit Affirms Dismissal of Derivative Suit Against Mutual Fund Adviser and Trustees

K&L Gates LLP on

The Fifth Circuit Court of Appeals recently affirmed the dismissal of a shareholder derivative suit filed against the manager and trustees of a Massachusetts business trust and SEC-registered investment company. In doing so,...more

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