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The Investment Lawyer articles from January 2004
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The Investment Lawyer archives from January 2004
Mutual fund directors' oversight of distribution relationships: emerging best practices.
January 1, 2004... The past year has brought an extraordinary amount of scrutiny and regulatory change to the mutual fund world, and, to a substantial degree, this attention has focused on mutual funds' relationships with the intermediaries that distribute or...
Highlights of this issues.(Editorial)
January 1, 2004... Our articles this month focus on three distinct areas of interest for our readers. Our first article, by Mark Perlow of Kirkpatrick & Lockhart LLP, focuses on mutual funds' relationships with the intermediaries that distribute or sell their...
SEC amends adviser custody rule.(Securities and Exchange Commission)
January 1, 2004... The adviser custody rule, rule 206(4)-2 under the Investment Advisers Act of 1940 (Advisers Act), was first adopted in 1962, at a time when the business was far simpler and operated quite differently than it does today. The rule as originally...
Supervision of sub-advisers Part II: practical tips for managing risk.
January 1, 2004... In today's legal landscape, an investment adviser (1) must supervise its sub-advisers or risk liability if errors, violations, or wrongdoing are committed by a sub-adviser or a sub-adviser's personnel. In last month's issue, Part I of this...
US Department of Labor proposes foreign securities lending for ERISA plans.(Employee Retirement Income Security Act )
January 1, 2004... Employee benefit plans and other institutional investors have long used securities lending transactions to improve portfolio performance. However, as with all other transactions involving employee benefit plans, both fiduciaries that cause...
