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Keywords: Mutual funds
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Journal Articles
SEC issues final rule on investment company liquidity risk management
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (1): 43–52.
Published: 02 May 2017
... changes to the program. The program as adopted in the final rule has four main components: Rachael Leah Schwartz can be contacted at: rschwartz@schiffhardin.com © 2017 Schiff Hardin LLP 2017 Schiff Hardin LLP Licensed re-use rights only Governance Mutual funds Investment Company...
Journal Articles
International distribution of mutual funds legal and compliance issues: historical considerations and practical pointers
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2012) 13 (2): 60–65.
Published: 08 June 2012
...Robert N. Sobol Purpose The purpose of this paper is to provide an introduction to the distribution of mutual funds around the world, including a background on the lack of sales of US funds offshore and initial practical legal and compliance considerations regarding fund structure, multi...
Journal Articles
The Supreme Court's Janus decision: no secondary liability, but many secondary questions
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (4): 21–25.
Published: 29 November 2011
... content, who is? Investment advisers Hedge funds Mutual funds Securities Exchange Act of 1934 Securities regulation Investments Advisory services Hedging Regulation United States of America The US Supreme Court's recent decision in Janus Capital Group, Inc. v. First...
