Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Monday, June 25, 2007

John Hancock Settles Revenue Sharing Charges

John Hancock Investment Management Services and its affiliates settled SEC charges relating to revenue sharing arrangements from 2001-2004.  The firms agreed to institute compliance policies and procedures and disgorgements of approxixmately $14.8 million, plus prejudgment interest, to the affected funds.

http://lawprofessors.typepad.com/securities/2007/06/john-hancock-se.html

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