Searching Content indexed under Fund Management/ REITs by Carlton Fields ordered by Published Date Descending.
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SEC Proposes Summary Prospectus Option And Modernized Disclosure For Variable Insurance Products
On October 30, the SEC voted to propose modernized disclosures for variable annuities and variable life insurance policies, including the use of an optional summary prospectus.
United States
6 Nov 2018
Fifth Circuit Vacates DOL Fiduciary Rule
On March 15, the Fifth Circuit, in Chamber of Commerce, et. al. v. United States Department of Labor, a 46-page opinion, reversed the district court's ruling upholding the DOL fiduciary rule and vacated the rule.
United States
6 Apr 2018
SEC Sidelines Funds Focused On Cryptocurrencies
In a January 18 letter to two of the fund industry's leading advocacy groups, the staff of the SEC's Division of Investment Management advised fund sponsors not to initiate registration ...
United States
6 Apr 2018
Implementation Delay And Q&As For Fund Liquidity Rule
On February 21, the SEC approved a six-month extension for mutual funds to comply with the classification (bucketing) requirements and related elements of its new liquidity rule.
United States
6 Apr 2018
The Impact Of The EU Requirement To ‘Unbundle' Research Costs
A recent EU directive prohibits certain investment managers from receiving securities research whose cost is "bundled" together with broker-dealers' costs of effecting securities transactions...
United States
8 Jan 2018
SEC Staff Allows Brokers To Set Commissions For Mutual Fund "Clean Shares"
The CG Letter effectively allows brokers to compete on commission rates for the sale of mutual funds, as they do for ETFs, subject to certain conditions.
United States
13 Apr 2017
China Tightens Regulations On Investing Insurance Funds In Shares of Listed Companies
The entire Chinese economy, including its insurance industry, has experienced rapid growth in recent years.
23 Mar 2017
SEC Adopts Liquidity Risk Programs For Funds
On October 13, the SEC adopted rule reforms designed to improve liquidity risk management by open-end funds.
United States
5 Jan 2017
SEC Issues Guidance On Business Continuity Planning For Registered Investment Companies
The Securities and Exchange Committee (SEC) staff published Guidance Update 2016-04, concerning business continuity plans regarding companies within a "fund complex."
United States
3 Nov 2016
SEC Curious About Mutual Fund Unicorns
The SEC staff has reportedly been asking mutual funds how they value their investments in "unicorns" – i.e., dynamic pre-IPO companies with market capitalization exceeding $1 billion, and shares that are not publicly traded.
United States
1 Nov 2016
AXA Prevails At First Post-Jones v. Harris Excessive Fee Trial
Litigants in other excessive fee cases would be well-advised to review the Sivolella decision carefully as they prepare for trial.
United States
28 Oct 2016
SEC Committee Recommends Investor-Specific Mutual Fund Cost Disclosures
In mid-April, the SEC's Investor Advisory Committee (IAC) issued a recommendation that the SEC "explore ways to improve mutual fund cost disclosures."
United States
20 Jul 2016
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