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Articles by Adam T. Teufel
ETF Share Class: ICI Highlights Key Operational Considerations
David P. Bartels’s articles from Dechert are most popular: in United States Dechert are most popular: within Wealth Management, Tax and Criminal Law topic(s) with readers working within the Banking & Credit industries The Investment Company Institute recently published a white paper detailing operational, governance, and disclosure considerations for industry stakeholders in implementing a structure offering an ETF share class within an existing mutual fund.
Generic Listing Standards For Crypto And Commodity ETPs: What It Means And What's Next
Generic listing standards now allow qualifying crypto and commodity exchange-traded products to list without inpidual SEC approval. The new generic listing standards will result in significant time and cost savings for ETP issuers meeting the new criteria. Actively managed, leveraged, and novel-feature ETPs still require traditional 19b-4 approval.
SEC Issues Notice Of Intent To Grant ETF Share Class Relief
D Dechert More Dechert is a global law firm that advises asset managers, financial institutions and corporations on issues critical to managing their business and their capital – from high-stakes litigation to complex transactions and regulatory matters. We answer questions that seem unsolvable, develop deal structures that are new to the market and protect clients' rights in extreme situations.
SEC Provides No-Action Relief for Index-Based Funds to Exceed Diversification Limits without Obtaining Shareholder Approval | Lexology
The Staff of the SEC’s Division of Investment Management (Staff) has issued a no-action letter permitting registered open-end and exchange-traded index-based funds to exceed the limits of a “diversified company,” as defined in the Investment Company Act of 1940, in certain circumstances, without obtaining shareholder approval.1 As described below, this relief relates to situations where, due to changes in relative market capitalization and weightings of certain issuers in a fund’s benchmark...
SEC Staff Clarifies Application of 1940 Act Section 22(d) to Brokers Selling Clean Shares of Mutual Funds
In response to a request for interpretative guidance, the U.S. Securities and Exchange Commission staff (staff) advised on January 11, 2017 that Section 22(d) of the Investment Company Act of 1940 does not prevent a broker acting in an agency capacity from charging its customers a commission for transacting in “Clean Shares” of a registered investment company (fund).1 The request, by Capital Group Companies, Inc.
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