Search for: "Affiliate of Mutual Fund 7"
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9 Mar 2021, 3:00 am
A “qualifying investment” is an equity security purchased directly from a “qualifying portfolio company,” that is, at the time of the fund’s investment: (a) is not a reporting company, listed on a foreign exchange, and an affiliate of an Exchange Act reporting company, (b) does not borrow or issue debt obligations in connection with the fund investment and distribute proceeds in exchange for the investment, and (c) is not a… [read post]
7 Jan 2021, 2:47 pm
OCIE Examination Priorities On January 7, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) started off the year by announcing its examination priorities. [read post]
4 Jan 2021, 1:29 pm
The position begins in January 2021 and will last for twelve months, with the possibility of an eight-month extension by mutual agreement. [read post]
22 Dec 2020, 9:43 am
Statements must be sent to investors in the fund within 120 days after the fund’s fiscal year-end. [read post]
7 Dec 2020, 10:16 am
The position begins in January 2021 and will last for twelve months, with the possibility of an eight-month extension by mutual agreement. [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]
4 Nov 2020, 9:21 am
Chinese regulators have since issued new regulations targeting financial technology companies, requiring additional financial disclosures ahead of IPOs and imposing new restrictions on lending practices Ant Group operates as a “virtual financial services mall for everything from loans to mutual funds, insurance policies and travel bookings. [read post]
16 Oct 2020, 6:41 am
The adviser further failed to disclose to prospective clients that his affiliation with one of the SEC-registered firms had been terminated for stealing client funds. [read post]
7 Aug 2020, 7:47 pm
After much well curated public and private activity, the Open Ended Inter-Governmental Working Group on TNCs and Other Business Enterprises With Respect to Human Rights has released its Second Draft of a Legally Binding Instrument to Regulate, in International Human Rights Law, the Activities of Transnational Corporations and Other Business Enterprises. [read post]
15 Jul 2020, 4:25 am
Effective May 2020, CIMA enacted new rules governing the contents of the offering documents of mutual funds regulated under the Mutual Funds Law (2020 Revision) (“Regulated Mutual Funds”). [read post]
8 Jun 2020, 3:00 am
I know from interacting with many lawyers, that using Airbnb while you are in law school or during the early part of your career is a completely viable plan for reducing your living expensive, padding your savings account and giving you a little extra money to either invest in mutual funds or set aside for a rainy day. 2. [read post]
21 Apr 2020, 12:46 pm
Foreign Public Funds: The original Volcker Rule regulations excluded certain foreign public funds, and was drafted so as to be similar to the exclusion for U.S. registered mutual funds. [read post]
3 Apr 2020, 8:19 am
Lenders and borrowers on loans made prior to June 5, 2020, may mutually amend such loans to allow for the longer repayment term. [read post]
31 Mar 2020, 1:50 pm
Section 3(c)(7) exempts funds that are only open to qualified investors, who are investors with at least $5 million in investments; however, there is no limitation on the number of such investors in a fund exempt under Section 3(c)(7). [read post]
22 Feb 2020, 4:12 am
• Within 7 days after the Remaining Petitioning Creditors’ receipt of the initial $30,000 payments, Tagnetics shall file with the court and serve, by email, upon on each of the Remaining Petitioning Creditors a notice of payment. [read post]
30 Jan 2020, 3:25 pm
As in prior years, OCIE emphasized scrutiny of advice given to retail investors regarding high-risk products and retail-targeted investments, including mutual funds, ETFs, municipal securities and other fixed income securities, and microcap securities. [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]
17 Jan 2020, 11:11 am
Some other statistics: Over 3,700 RIAs each manage more than $1 billion in assets; Approximately 36 percent of RIAs manage a private fund; Over 60 percent of RIAs are affiliated with other financial industry firms; and Approximately, 12 percent of RIAs provide advisory services to a mutual fund, exchange-traded fund, or other registered investment company. [read post]
17 Jan 2020, 11:11 am
Some other statistics: Over 3,700 RIAs each manage more than $1 billion in assets; Approximately 36 percent of RIAs manage a private fund; Over 60 percent of RIAs are affiliated with other financial industry firms; and Approximately, 12 percent of RIAs provide advisory services to a mutual fund, exchange-traded fund, or other registered investment company. [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]
