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197 results found containing all search terms.
... an expert witness for plaintiffs in lawsuits against the industry that claimed violations of Section 36(b) of the Investment Company Act of 1940. In its announcement ...
28 Feb 2024
... . Perhaps the most controversial change to the 1940 Act was the addition of Section 36(b ), which deems investment advisers to have a fiduciary duty with ...
12 Dec 2022
... streamlining Prudential's fund board structure and governance practices that involved whittling down a group of 36 directors on seven board clusters with seven law firms providing counsel to 12 directors ...
30 Nov 2018
... March 28, Birdthistle questioned whether mutual funds are honoring their fiduciary duties under Section 36(b) of the Investment Company Act of 1940 given that no plaintiff ...
12 Apr 2022
... filed in the last several years, plaintiffs accused ING and Principal of violating Section 36(b) of the Investment Company Act of 1940 by charging shareholders fees ...
24 Oct 2017
... our annual August shutdown, we've brought you news of a ruling in the long-running 36(b) case against AXA Equitable Life Insurance Co. and the filing ...
19 Sep 2016
... Asset Mgmt., LLC was filed in October 2015 and claimed violations of Section 36(b) of the Investment Company Act of 1940 specifically centering on fees ...
08 Nov 2018
... Associates decision, the plaintiffs' bar has filed 27 suits alleging violations of Section 36(b) of the Investment Company Act of 1940 in the years since ...
25 Apr 2017
... but the case dates back to 2011 and alleges breach of fiduciary duty under Section 36(b) of the Investment Company Act of 1940. The charges center ...
14 Jun 2016
... v. AXA is the first such case alleging violation of fiduciary duty under Section 36(b) of the Investment Company Act of 1940 to reach the courtroom ...
22 Feb 2016
