Posted on May 15, 2010
On February 28, 2010, the SEC's new proxy disclosure enhancements went into effect. Not only do the new disclosure rules make changes to proxy statements and information statements, they also require ...
Continue reading "SEC's New Proxy Disclosure Enhancements Require Updates to Registration Statements and Trustee & Officer Questionnaires " »
Posted on Jan 5, 2010
Form and Rule Changes The SEC adopted revisions to Form N-1A that require mutual funds to provide a new summary section at the front of the prospectus with key information about the fund such as its ...
Continue reading "Mutual Fund Summary Prospectus " »
Posted on Dec 18, 2009
On December 16, 2009, the SEC announced that it had adopted rules to increase the protections for investors who turn their money and securities over to SEC-registered investment advisers. The new ...
Continue reading "SEC Adopts Safeguards to Protect Client Assets Controlled by Investment Advisers" »
Posted on Nov 7, 2009
In the current economic climate, ways to streamline, downsize and generally become more efficient can prove valuable in the long run. For the fund industry, one way to realize some efficiencies may be ...
Continue reading "Fund Reorganizations Could Cut Costs and Improve Efficiency" »