Author Description

Product Description The Complete Guide. Your Authoritative Reference to the legal and regulatory issues. Updated and expanded coverage of SEC positions, enforcement actions, and industry developements. New Helpful diagrams for easy reference Coverage of critical recent enforcement actions. Legislative and Administrative History. Analysis of the Section 28 Safe Harbor. Erisa and Soft Dollars. Investment Advisers and Soft Dollars. Mutual Funds and Soft Dollars. Broker-Dealers and Soft Dollars. Banks and Soft Dollars. Review Simply the best resource for those who work on soft dollar matter. -- Barry Barbash Partner Shearman & Sterling About the Author Thomas P. Lemke is a partner in the Washington, D.C. office of Morgan Lewis & Bockius LLP. He concentrates his practice on the full spectrum of investment management matters, including advising mutual funds, investment advisers and broker dealers. Before joining the firm in 1999, Mr. Lemke held a variety of senior legal and other postions with a number of investment management firms, most recently serving as general counsel and chief operating office of a mutual fund complex. He started his career at the SEC'S Division of Investment Management, serving as chief counsel during his last three years. Mr. Lemke has co-authored a number of books including Money Manager's ERISA Sourcebook, Regulation of Investment Advisers, Regulation of Investment Companies, Soft Dollars and Other Brokerage Arrangements, and How to read a Mutual Fund Prospectus. Gerald T. Lins is General Counsel of ING Furman Selz Asset Management LLC, which comprises several investment advisory entities managing a wide variety of investment strategies and vehicles, including separate accounts, hedge funds, mutual funds, structured products and wrap fee accounts. Previously, Mr. Lins was in charge of legal matters for a number of major asset managers and fund complexes, and