Search for: "In the Matter of Mutual Fund Market-timing Litigation"
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29 Jul 2017, 5:32 pm
As a result, the choice of law in the standard terms of the student loan agreements also vary (depending on program lender) and that can make a difference in litigation. [read post]
11 Dec 2017, 12:16 pm
Indeed, it is a fundamental premise of a free market system. [read post]
11 Dec 2017, 12:16 pm
Indeed, it is a fundamental premise of a free market system. [read post]
3 Nov 2009, 5:14 pm
As many new shares as might be desired generally are made available to new investors, and these shares are then redeemable at current market value any time the investor wishes to withdraw her investment. [read post]
18 Jul 2009, 7:31 am
She wasted no time in implementing changes to “reinvigorate” enforcement. [read post]
10 Aug 2010, 9:23 am
Meanwhile, brokerage houses with their so called cash management accounts and mutual funds with their money market accounts have rendered securities subject to small recurrent transactions. [read post]
25 May 2022, 9:01 pm
Two geopolitical crises – the Covid-19 pandemic, and the Russian invasion of Ukraine – strained international supply chains and destabilized financial markets. [read post]
27 May 2010, 6:11 am
More than $69 billion flowed into long-term municipal bond mutual funds in 2009, up from only $7.8 billion in 2008 and $10.9 billion in 2007, according to the Investment Company Institute. [read post]
9 Dec 2007, 8:00 pm
We represent a variety of clients in connection with the establishment, structuring as well as regulatory matters of funds, including private investment funds, mutual funds, hedge funds, umbrella funds and real estate funds. [read post]
5 Jan 2015, 3:31 pm
This overview includes the following: Annual Compliance & Other Items Annual Fund Matters Annual Management Company Matters Regulatory & Other Changes in 2014 Focus for Next Year CFTC Regulation Compliance Calendar **** Annual Compliance & Other Items: New Issue Status. [read post]
9 Jan 2013, 12:00 am
To make matters worse, quantifying adequate D&O insurance is akin to aiming at a moving target. [read post]
3 Apr 2018, 10:32 am
He has prepared, reviewed, and negotiated hundreds of contracts – and has litigated hundreds of contractual breaches.Mr. [read post]
24 Jun 2016, 9:48 am
The ever-present risk that funds or assets will be stolen, lost or wasted, or that desired outcomes might not be achieved, can be eliminated or mitigated if a real-time watchdog monitors contract compliance and fulfillment. [read post]
9 Jan 2015, 6:40 am
As a result, despite the inconveniences enuring to the mutual discomfort of bench and bar, I am hard pressed to conclude that there is anything fundamentally wrong with the growing presence of unrepresented litigants; the situation is infelicitous, to be sure, but not iniquitous. [read post]
27 Mar 2018, 5:02 pm
The Access Loans were originated, marketed, guaranteed, funded and subsequently purchased by Access. [read post]
10 Jun 2011, 1:32 pm
According to the complaint, the funds’ prospectuses created the misleading impression that the firm and advisor would implement measures to curb market timing in the fund when in fact, “secret arrangements with several hedge funds” allowed market timing transactions. [read post]
18 Aug 2011, 5:04 am
During the three years Headstart engaged in market timing Headstart earned profits while other investors suffered losses. [read post]
4 Mar 2021, 8:24 am
The examinations will focus on registered investment advisers (RIAs), broker-dealers, and dually-registered firms, as well as investments and services marketed to retail investors (including but not limited to mutual funds and exchange-traded products, municipal securities and other fixed income securities, and microcap securities). [read post]
24 Aug 2022, 9:01 pm
The SEC alleged that BNY Mellon falsely stated it conducted an ESG review of all investments in certain mutual funds, when in reality the SEC found that many investments did not have an associated ESG review score at the time of investment. [read post]
15 Nov 2011, 8:20 pm
Buyers were told these securities were as safe as money market funds. [read post]
