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
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