Search for: "Affiliate of Mutual Fund 7"
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29 Mar 2012, 4:25 pm
According to the plaintiffs, the defendants violated their fiduciary obligation to the retirement plan, which included investments involving mutual funds and target date funds from RiverSource Investment LLC (an Ameriprise subsidiary that is now called Columbia Management Investment Advisers LLC). [read post]
20 Nov 2019, 12:15 pm
Mutual fund share class disclosure. [read post]
20 Nov 2019, 12:15 pm
Mutual fund share class disclosure. [read post]
27 Apr 2016, 11:00 am
Solicitation of Funds Private employers also cannot force their employees to donate funds to campaigns. [read post]
31 May 2018, 6:21 pm
” A “qualifying portfolio company” has three requirements: (i) at the time of the investment by the fund, the company must not be a reporting company under the Securities Exchange Act of 1934 nor be listed or traded on any foreign exchange and is not an affiliate of (i.e. directly or indirectly under common control with) an Exchange Act reporting company or a publicly traded foreign company; (ii) the company may not borrow or issue debt obligations in connection… [read post]
8 Sep 2016, 8:04 am
Additionally, the fund may increase the base management fee, to unspecified amounts, in the event of subsequent mergers or consolidations with certain affiliates. [read post]
22 Nov 2010, 10:05 am
The letter addresses the responsibilities of mutual fund directors in reviewing certain conflict-of-interest transactions under Rule 17a-7 (allows certain purchases from and sales to affiliated funds), Rule 17e-1 (provides guidance for the use of affiliated brokers for portfolio transactions), and Rule 10f-3 (allows certain purchases from affiliated underwriting syndicates). [read post]
17 Jan 2019, 9:02 am
In its place, the rise of socially constructed regimes of mutual accountability and responsibility will increasingly reshape the understanding of the character and limits of institutional autonomy and of the scope of responsibility in contractual relations. [read post]
2 Apr 2019, 11:04 am
A statement from Mutual of Omaha stated it had terminated their affiliation with Matthes. [read post]
28 Jan 2020, 6:00 am
For example, some fixed income mutual fund managers, pension plan sponsors, and endowment fund managers have historically relied on the larger rating agencies by name, the report explains. [read post]
21 Dec 2017, 12:08 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Michael McTigue (McTigue), in August 2017, was terminated by his employer ProEquities after the firm alleged that during a recent branch inspection of the firm discovered issues relating to (1) use of unapproved email address; (2) use of unapproved performance report; (3) customer signature discrepancies on firm paperwork; (4) frequent trading of mutual fund A shares; (5) breakpoint… [read post]
8 Jan 2020, 11:31 am
Investment companies can expect examinations focusing on mutual funds and ETFs, RIA activity, and oversight practices. [read post]
8 Jan 2020, 11:31 am
Investment companies can expect examinations focusing on mutual funds and ETFs, RIA activity, and oversight practices. [read post]
15 Feb 2018, 7:56 am
This new initiative — the Share Class Selection Disclosure Initiative — aims to address undisclosed conflicts of interest associated with the receipt of 12b-1 fees by investment advisers, their affiliates or their supervised persons paid by advisory clients who were eligible to invest in a lower-cost share class of the same mutual fund. [read post]
15 Feb 2018, 7:56 am
This new initiative — the Share Class Selection Disclosure Initiative — aims to address undisclosed conflicts of interest associated with the receipt of 12b-1 fees by investment advisers, their affiliates or their supervised persons paid by advisory clients who were eligible to invest in a lower-cost share class of the same mutual fund. [read post]
1 Dec 2020, 12:48 pm
At times between January 1, 2014 and June 7, 2018 the firm allegedly purchased, recommended, or held for advisory clients mutual fund share classes that charged 12b-1 fees instead of lower-cost share classes of the same funds for which the clients were eligible. [read post]
11 Jul 2011, 1:15 pm
It should be noted that the valuation of mutual fund securities in the Form 31-103F1 is based on the net asset value (NAV) as determined in accordance with National Instrument 81-106 Investment Fund Continuous Disclosure and is unaffected. [read post]
30 Dec 2016, 1:50 pm
Applicants will be informed of the selection committee’s decision no later than 28th January 2017.The Interest Group is unable to provide funding for travel to and attendance at the conference. [read post]
5 Feb 2010, 1:17 am
COURT OF APPEALS, SECOND CIRCUITBusiness Law Securities Act, Form N-1A Do Not Require Mutual Funds Disclosure of Information as to Affiliated Broker-Dealers In re Morgan Stanley Information Fund Securities Litigation Subscription Required U.S. [read post]
22 Aug 2023, 8:46 am
NYLIFE Securities Sanctioned for Mutual Fund Overcharges November 2019 – FINRA reportedly sanctioned NYLife Securities with a censure and a $250,000 fine after the firm’s “failure to supervise sales of higher-risk mutual funds. [read post]
