Client Alert

SEC Approves New Requirements for Investment Advisers and Mutual Funds: Code of Ethics and Front-End Sales Load Breakpoints Disclosure

August 01, 2004

Investment Management Practice Group

In a series of actions undertaken as part of its ongoing efforts to strengthen the oversight of registered investment companies and investment advisers, the Securities and Exchange Commission has recently approved new rules requiring Advisers to adopt comprehensive codes of ethics and Funds to provide investors with enhanced disclosures regarding sales-load discounts.

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Practice Areas

Investment Management

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