Alert January 27, 2004

Financial Services Alert

  • ICI Requests DOL Guidance on Actions by Retirement Plans to Prevent Participant Market Timing
  • OTS Issues Guidance on Servicemembers Civil Relief Act
  • SEC Proposes Adviser Code of Ethics Rules
  • SEC Inspection Staff States Policy of Providing Deficiency Letters to Fund Boards
  • Public Company Tool Kit for Financial Institutions and Bank Holding Companies from Goodwin Procter LLP