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8 Apr 2016, 6:09 am
Securities & Exchange Commission, on Tuesday, April 5, 2016 Tags: Asset management, Board independence, Boards of Directors, Compliance and disclosure interpretation,Cybersecurity, Exchange-traded funds, Fund managers, Investment advisers, Investment Company Act, Investor protection, Liquidity, Mutual funds, Oversight, Risk assessment, Risk management, SEC, Securities enforcement,Securities Regulation Securities Class Action Settlements: 2015 Review Posted… [read post]
8 Apr 2016, 6:09 am
Securities & Exchange Commission, on Tuesday, April 5, 2016 Tags: Asset management, Board independence, Boards of Directors, Compliance and disclosure interpretation,Cybersecurity, Exchange-traded funds, Fund managers, Investment advisers, Investment Company Act, Investor protection, Liquidity, Mutual funds, Oversight, Risk assessment, Risk management, SEC, Securities enforcement,Securities Regulation Securities Class Action Settlements: 2015 Review Posted… [read post]
8 Nov 2010, 2:48 pm
Defining the term “hedge fund” or “private equity fund” in terms of the activities in which they would engage would allow financial institutions to continue to offer funds that rely on Section 3(c)(7) for exclusion from registration but generally share certain investment and risk characteristics of mutual funds, and not hedge funds, without the risk of being subject to the restrictions in the Volcker… [read post]
24 May 2022, 5:00 am
For certain mutual funds that the sub-adviser sub-advised, called the “Sustainable Funds,” the sub-adviser required the Responsible Investment Team’s proprietary ESG quality review for all investments. [read post]
17 May 2013, 11:59 am
But there is case law that lets them hold those funds too. [read post]
28 Nov 2011, 8:57 pm
The illegal scenario is if customer segregated funds were commingled with MF Global's funds. [read post]
13 Jan 2011, 5:00 am
First Derivative Traders was argued December 7, 2010 before the US Supreme Court. [read post]
7 Jun 2013, 5:43 am
The Separation of Investments and Management by John Morley in the CLS Blue Sky BLog Every type of enterprise that we commonly think of as an investment fund—including hedge funds, private equity funds, venture capital funds, mutual funds and closed-end funds—adopts a pattern of organization that I call the “separation of investments and management. [read post]
7 Dec 2023, 4:59 am
The Justice Department said yesterday it was investigating “the murder of more than 30 Americans” and the abduction of U.S. citizens by Hamas fighters during the Oct. 7 attacks. [read post]
13 Mar 2010, 5:04 pm
Fed to Allow Money Market Funds as Reverse Repo CounterpartiesI want to thank my colleague Mark Nelson for this excellent piece on a topical issue.The Federal Reserve Bank of New York has announced that it will expand the set of counterparties it uses for reverse repo transactions to include money market mutual funds. [read post]
29 Jun 2011, 11:37 am
The hedge fund said that WaMu was denied access to approximately $4 billion that JP Morgan was improperly holding. [read post]
2 Oct 2018, 5:05 am
Comments on the Bill can be sent to Jeannine Bednar-Giyose at CommentDraftLegislation@treasury.gov.za by 7 November 2018. [read post]
8 Jun 2009, 3:07 am
The class action complaint (here), was filed on May 29, 2009 in the Middle District of Florida by a Florida physician who had a Swiss Life variable annuity policy that was invested in the Platinum All Weather Fund (the "Fund"), a mutual fund offered by Nomura. [read post]
6 Apr 2012, 4:10 am
" The bill passed on a 26 to 7 vote.The bill still requires approval by the House of Representatives. [read post]
31 Jul 2015, 4:00 am
For my analysis, see: “What a Law Society Should Be—A Response to the Law Society of Upper Canada’s Alternative Business Structures Discussion Paper of September 24, 2014” (pdf). 7. [read post]
23 Apr 2012, 2:00 am
” Later, a WSJ blog asserted: “But legal experts expect that once the Securities and Exchange Commission issues revised rules under the new law, hedge funds (and private-equity funds) will be free to promote themselves in print ads, on radio and television, and online, much as mutual funds have long done. [read post]
5 Oct 2007, 1:16 pm
Whether it is through mutual funds, pensions or direct purchases of shares in companies, some investors are taking more than profit maximization into consideration when investing. [read post]
2 Dec 2017, 12:00 am
I also covered 7 common holes in retirement plans. [read post]
20 Jun 2024, 9:01 pm
In the United States, we’ve long had transactions in mutual funds generally settle in one day. [read post]
7 Aug 2020, 3:00 am
Full Appeals Court Agrees to Wade into Michael Flynn Case Associated Press News – Eric Tucker | Published: 7/31/2020 The entire Washington, D.C. [read post]
