Securities Law Prof Blog

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

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.

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