One of the most talked about topics in asset management is the possibility of offering Mutual Fund and ETF Classes in the same Fund. It appears that Funds may obtain the Relief necessary to offer these Share Classes in the...more
6/27/2025
/ Asset Management ,
Chief Compliance Officers ,
Disclosure Requirements ,
DTCC ,
ETFs ,
Financial Industry Regulatory Authority (FINRA) ,
Fund Sponsors ,
Investment Funds ,
Mutual Funds ,
Operational Requirements ,
Regulatory Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Share Class Structures ,
Share Classes ,
Shareholders
On January 10, 2025, Judge Reed O’Connor of the Northern District of Texas issued a much-anticipated ruling in Spence v. American Airlines, Inc., which marks the first time that a federal judge has written an on-the-merits...more
1/15/2025
/ 401k ,
Asset Management ,
Breach of Duty ,
Class Action ,
Corporate Governance ,
Duty of Loyalty ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Environmental Social & Governance (ESG) ,
Fiduciary Duty ,
Investment ,
Investment Management ,
Plan Administrators ,
Proxy Voting ,
Retirement Plan ,
Shareholders