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A Road Map to Better Financial Services Regulation

By David F. Snyder, Vice President and Associate General Counsel, Public Policy, American Insurance Association In the Paris headquarters of the Organization for Economic Co-operation and Development (OECD), there is a photograph of President Eisenhower, President DeGaulle, Prime Minister MacMillan...

Managing Risks Posed to Mutual Fund Industry Participants by Increasing Litigation and Regulatory Enforcement Activity

Over the last ten years, the far-reaching examination of the trading practices of the mutual fund industry, numerous enforcement actions by the SEC against prominent broker-dealers and fund complexes, and scores of civil lawsuits resulted in very significant costs to the mutual fund industry. Additionally...

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