News & Analysis as of

Managers Securities and Exchange Commission (SEC)

Carlton Fields

SEC Expands Manager-of-Managers Relief to Affiliated Sub-Advisers

Carlton Fields on

On May 29, 2019, the SEC granted an exemptive order to Carillon Series Trust and Carillon Tower Advisers Inc. (a Raymond James affiliate) to hire and replace affiliated and unaffiliated sub-advisers without shareholder...more

Goodwin

SEC Staff Provides Guidance on Aggregate Advisory Fee Condition for Multi-Manager Relief

Goodwin on

The staff of the SEC’s Division of Investment Management issued an IM Guidance Update concerning the aggregate advisory fee condition in the SEC’s “multi-manager” exemptive relief. (Under the terms of this relief, a...more

Holland & Knight LLP

SEC Requires First Admission of Wrongdoing Under Revised Settlement Policy

Holland & Knight LLP on

On August 19, 2013, the SEC announced that it settled with a hedge fund and its manager (the defendants) and required them to admit wrongdoing. In the consent, the defendants admit to a series of facts, including that the...more

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