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.