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8 Jan 2020, 11:31 am
Investment companies can expect examinations focusing on mutual funds and ETFs, RIA activity, and oversight practices. [read post]
27 Dec 2013, 5:57 pm
Peter Lynch, who years ago started the wildly successful Magellan mutual fund, advised investing in those things that you use and that you see other people enjoying. [read post]
25 Jul 2023, 4:37 am
State Compensation Insurance Fund v. [read post]
3 Aug 2011, 2:51 am
The Trademark Trial and Appeal Board has scheduled seven (7) oral hearings for the month of July, as listed below. [read post]
25 Feb 2020, 7:08 am
Private placements tend to be speculative and exposed investors to unique risks like lack of liquidity, concentrated risk, key-man risk, and management risk not typically found in publicly traded investments like mutual funds. [read post]
22 Jun 2010, 9:16 am
On certainly a weekly basis, or whenever I am in my bank, I can see a Series 7 stockbroker, i.e. financial consultant, pitch some poor unsuspecting customer as to why they should purchase some proprietary mutual fund. [read post]
29 Dec 2009, 10:56 am
Nah, Try Insider Trading 377 The Case for Insider Trading 380 Citizen Donaldson 384 What Mutual-Fund Scandal? [read post]
27 Jul 2018, 9:26 am
The sanction was based on findings that Panfil made unsuitable recommendations for mutual fund switches, forged or caused to be forged customers’ signatures on mutual fund switch forms and exercised discretion without customers’ prior written authorization. [read post]
11 Jan 2019, 6:30 am
Hadlock (Michigan State University) and Miriam Schwartz-Ziv (Michigan State University), on Monday, January 7, 2019 Tags: Blockholders, Institutional Investors, Mutual funds, Ownership Climate Change and Proxy Voting in the U.S. and Europe Posted by Maximilian Horster, ISS-ESG; and Kosmas Papadopoulos, ISS Analytics, on Monday, January 7, 2019 Tags: Climate change, Engagement, ESG, Europe, Institutional… [read post]
6 Jun 2007, 2:01 pm
The step-up can eliminate taxes on stocks, bonds, mutual funds and real estate that are inherited. [read post]
4 May 2020, 12:03 pm
Chapter 7 provides a range of immunities at §§ 8655-8660. [read post]
12 Jul 2018, 9:01 pm
It would also restrict city-funded council travel and extend from one to two years the period ex-officials must stay away from city government before lobbying or working as a contractor. [read post]
15 Sep 2011, 5:00 am
The current draft of the bill would exclude the following from oversight by a “registered national investment adviser association”: Investment companies (mutual fund advisors) Non-U.S. persons Clients that in aggregate own at least $25 million in investments Various religious, education or charitable entities Stock pension plans and collective trusts Private equity funds Venture capital funds Retail investment advisers would be governed by the… [read post]
10 Dec 2021, 4:59 am
Birdthistle (Chicago-Kent College of Law) and Quinn Curtis (University of Virginia), on Monday, December 6, 2021 Tags: Conflicts of interest, DOL, ERISA, Fiduciary rule, Institutional Investors, Investment advisers, Investor protection, Mutual funds, Prudence, Retirement plans, Securities regulation U.S. [read post]
29 Nov 2010, 8:00 am
Choate also serves as a director of Amgen, Inc. and Van Kampen Mutual Funds. [read post]
23 Jan 2012, 8:08 am
Rabone & Anor v Pennine Care NHS Trust, heard 7 – 10 November 2011. [read post]
16 Jan 2012, 4:08 am
Rabone & Anor v Pennine Care NHS Trust, heard 7 – 10 November 2011. [read post]
9 Jan 2012, 1:48 am
Rabone & Anor v Pennine Care NHS Trust, heard 7 – 10 November 2011. [read post]
7 Feb 2023, 9:01 pm
Though fees among other funds—such as mutual funds and exchange-traded funds (ETFs)—have had significant reductions in recent years, private fund fees have not come down in a comparable way. [read post]
5 Dec 2011, 2:07 am
Lehman Brothers International v CRC Credit Fund Ltd and GLC Investments PLC Sub Fund, heard 31 October – 3 November 2011. [read post]
