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The Investment Lawyer back issues
Financial Services Regulatory Relief Act.(Regulatory Monitor)
January 1, 2007... Banking Law Developments Arnold & Porter, LLP --Washington, DC On September 29, 2006, Congress enacted the Financial Services Regulatory Relief Act of 2006 (the Act), which amends the federal regulatory statutes that govern the activities of banks, savings and loan...
What to do if your fund becomes subject to ERISA.
January 1, 2007... This article discusses, in general terms, certain of the ramifications under both the Employee Retirement Income Security Act of 1974, as amended (ERISA) and the prohibited transaction rules under Section 4975 of the Internal Revenue Code of 1986, as amended (the Code), to investment...
Fund director approval of advisory contracts: shareholder report disclosure.
January 1, 2007... February 15, 2007, marks the sixth anniversary of the effectiveness of Securities and Exchange Commission (SEC) requirements (1) that a mutual fund (fund) disclose the basis of director approval (approval disclosure) of an investment advisory contract (contract). So, the mutual fund...
Highlights of this issue.(From the Editor)
January 1, 2007... The Investment Lawyer's first issue of 2007 analyzes a recent Securities and Exchange Commission (SEC) proceeding with significant repercussions for the bank mutual fund industry. In addition, in this issue we take another look at two perennially important topics: (1) board consideration of...
The SEC's BISYS Order--the next mutual fund scandal?
January 1, 2007... On September 26, 2006, the Securities and Exchange Commission (SEC) issued an order settling an administrative enforcement proceeding against BISYS Fund Services, Inc. (the Order). (1) The Order found, among other things, that BISYS had aided and abetted 27 mutual fund advisers (most, if...