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Tag: K&l Gates
Sept 16 K&L Gates Webinar: The Politics of Dodd-Frank Rule Making
September 09, 2010
On Thursday, September 16, 2010, at 2:00PM EDT, K&L Gates LLP will present a webinar on the politics of rule making under the Dodd-Frank Act. The sweeping scope of the financial reform bill leaves scores of significant issues and thousands of details to the regulators. The rulemaking… read more
K&L Gates Webinar: SEC’s Focus on Mutual Funds Fees
January 06, 2011
Recently, the SEC's Division of Investment Management announced that its new Asset Management Unit will focus on some areas affecting fund directors, including: Advisory and other Service Fees - The SEC is clearly looking closely at the 15(c) process. As noted in SEC Enforcement Chief Khuzami's… read more
Webinar Replay: K&L Gates - SEC Focus on Mutual Fund Fees
February 11, 2011
If you missed K&L Gates' February 3rd webinar, SEC’s Focus on Mutual Funds Fees Pushes Directors toward Year-Round Diligence, the firm has made available a replay of the discussion. The webinar featured some very interesting dicussions, focusing on some areas affecting fund directors, including: Advisory and… read more
K&L Gates on the Effect of CFTC Rule Proposals on Funds
March 15, 2011
As we mentioned in our January 31, 2011 post, "CFTC Proposes Commodities Rules that May Affect Mutual Funds," new rule proposals by the regulator may, if adopted, subject some mutual funds to greater regulation. Under current CFTC rules, registered investment companies are generally excluded… read more
K&L Gates’ Quarterly Investment Management Update
April 26, 2011
K&L Gates has published the Spring 2011 edition of its quarterly "Investment Management Update." This issue features articles on a wide range of topics from SEC enforcement trends, interactive data, developments for closed-end funds, SEC whistleblower rules, and more. SEC Enforcement Ramping Up Cases… read more
K&L Gates Warns Companies of Aggressive Governmental Investigative Tactics
August 24, 2011
Investigations of public companies by government agencies have become more aggressive and are employing new tactics and techniqes. With recent market events and increased financial regulatory activity, funds and other financial firms are not immune from this renewed scrutiny. K&L Gates has published a short… read more