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Vedder Thinking | Articles Investment Services Regulatory Update


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.


John S. Marten


Nathaniel Segal