IDC Webinar: Litigation and SEC Enforcement Activity: An Update for Fund Directors
September 19, 2019 • 2:00–3:00 p.m. (ET) • Virtual
Participants learned the latest developments in Section 36(b) cases and other lawsuits involving funds, fund advisers, and fund directors—and about some recent courtroom successes—in this annual update for fund directors. SEC enforcement activity, which remains high and has included a significant number of actions in the asset management area, also was covered.
Panelists gave an update of these litigation and SEC enforcement trends and reminders of ways in which directors can help to mitigate litigation risk.
Featured Speakers
KARRIE McMILLAN
Independent Director
Principal Funds
STEPHEN G. TOPETZES
Partner
K&L Gates
JULIA ULSTRUP
Senior Vice President and General Counsel
ICI Mutual Insurance Company
Materials
This webinar was closed to the media.