News & Analysis as of

Vanguard Mutual Funds

Proskauer Rose LLP

Quant Firm Applies to Issue ETF Share Classes in Mutual Funds

Proskauer Rose LLP on

Dimensional Fund Advisors LP ("Dimensional"), a quantitative investment firm, recently filed an application for exemptive relief ("Application") with the Securities and Exchange Commission ("SEC"), seeking permission to offer...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Proprietary fund plan sponsor problems

I always say that I come up with many ideas, but most of them are bad. Seriously, there are so many bad ideas out there in the 401(k) space and one of the really bad ideas out there are bundled plan providers using their own,...more

Robinson+Cole Data Privacy + Security Insider

Early Adopter—Vanguard Announces Plan to Utilize Blockchain Technology

Top mutual fund firm The Vanguard Group, Inc. unveiled a plan last week to incorporate blockchain smart contract technology into some of its indexing operations beginning early next year. Vanguard’s initiative will be carried...more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

Vanguard’s not well known for making waves, but the $4.5 trillion mutual-fund manager has quietly increased its corporate engagement activity over the past year—discussing governance, pay, and other issues with nearly a...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The effect of more 401(k) bundled provider litigation

There is a proliferation of litigation against plan sponsors and against bundled 401(k) plan providers for offering their own proprietary funds in 401(k) plans for their employees as well as the 401(k) plans they administer...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The Problem With Providers Using Their Own Funds In Their 401(k) Plan

I always say that I come up with many ideas, but most of them are bad. Seriously, there are so many bad ideas out there in the 401(k) space and one of the really bad ideas out there are bundled plan providers using their own,...more

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