Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
December 2016
In this issue:
Litigation and Enforcement Actions
- PIMCO Settles Charges of Misleading Investors Regarding ETF Performance
- U.S. District Court Orders Trustees to Produce Documents Redacted or Withheld Under Attorney-Client Privilege in Mutual Fund Excessive Fee Litigation
- SEC Overturns Administrative Law Judge's Decision and Finds Adviser Failed to Disclose Material Conflicts of Interest Relating to Revenue Sharing Arrangement
To read the Regulatory Update, click the link below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
December 2016
Reader View
In this issue:
Litigation and Enforcement Actions
- PIMCO Settles Charges of Misleading Investors Regarding ETF Performance
- U.S. District Court Orders Trustees to Produce Documents Redacted or Withheld Under Attorney-Client Privilege in Mutual Fund Excessive Fee Litigation
- SEC Overturns Administrative Law Judge's Decision and Finds Adviser Failed to Disclose Material Conflicts of Interest Relating to Revenue Sharing Arrangement
To read the Regulatory Update, click the link below.
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