Client Alert

Update: Sarbanes-Oxley Rules Applicable to Open-End Investment Companies

February 01, 2003

Investment Management Practice Group

In July, 2002, the President signed the Sarbanes-Oxley Act of 2002. The requirements under the Act have evolved, and will continue to evolve, as the Securities and Exchange Commission promulgates regulations required by the Act. This Alert summarizes those provisions of the Act and regulations Commission to date that are directly or indirectly applicable to registered mutual funds.