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The Investment Lawyer articles from December 2002
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The Investment Lawyer archives from December 2002
The proposed proxy voting rules--disclosure of the immaterial?
December 1, 2002... Securities and Exchange Commission (SEC) Chairman Harvey Pitt has discussed repeatedly the importance of mutual funds and their advisers exercising proxy votes in the best interests of their client shareholders. (1) Not surprisingly, on...
Highlights of this issue. (From The Editor).
December 1, 2002... For our final issue of the year, we present three articles of interest to the investment management industry, two with an international focus and one covering the proposed proxy voting rules. Our lead article, written by George Silfen,...
Exchange traded funds: developments in Italy.
December 1, 2002... Exchange-traded funds (ETFs) have become an increasingly important part of the worldwide mutual fund landscape over the last decade (1) for the cost savings they can offer investors, among other reasons. Nevertheless, the market in Italy has...
Improving corporate governance and fund holder rights in China.
December 1, 2002... The fund industry in the People's Republic of China (China) is still in its nascent stage. According to the Chinese government, as of the end of July 2002, there were approximately 56 securities investment funds (funds) organized in China,...
Recent SEC developments: Stradley Ronon Stevens & Young, LLP--Washington, DC. (Regulatory Monitor).
December 1, 2002... Proxy Voting
The Securities and Exchange Commission (SEC) proposed on September 20, 2002, new disclosure obligations for funds to disclose their proxy voting policies and procedures as well as their actual proxy voting records....
Marketing and distribution developments: Dechert--Washington, DC. (Regulatory Monitor).(SuperMontage Facility)
December 1, 2002... SEC Approves Implementation of Nasdaq's SuperMontage Facility
On August 29, 2002, the Securities and Exchange Commission (SEC) issued an order (August Order) permitting the NASD to begin operating its new order display and collection...
