Search for: "Affiliate of Mutual Fund 7"
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14 Mar 2016, 11:19 am
The Securities and Exchange Commission today announced charges against three AIG affiliates for steering mutual fund clients toward more expensive share classes so the firms could collect more fees. [read post]
8 Nov 2023, 9:05 pm
But CITs are not mutual funds. [read post]
23 May 2022, 6:12 am
The Commission determined that since at least February 2014, the agreement between the adviser’s affiliated broker and the clearing broker provided that the clearing broker would share a portion of the recurring fee with the affiliated broker based on customer assets invested in mutual funds in the NTF program. [read post]
12 Jan 2011, 8:00 am
The proceeds of the $100 million settlement were to be distributed to accounts of investors who owned the 7 mutual funds between 2001 and 2003, for which JCM acted as the investment adviser. [read post]
3 Feb 2009, 8:34 am
An overview of the fund's affiliations, if any, with financial institutions. e. [read post]
28 Nov 2011, 7:19 am
Advise a registered underlying fund of a registered fund of funds. 7. [read post]
14 Jan 2022, 9:43 am
Investment advised clients bought or held mutual fund share classes that charged 12b-1 fees when lower-cost share classes of those same funds were available. [read post]
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]
21 Aug 2010, 9:29 am
What is a Hedge Fund Part 2 Mutual Funds v. [read post]
29 Jan 2009, 2:44 pm
Information on any affiliation with another financial institution. e. [read post]
29 Sep 2016, 5:08 pm
” Id. at 7. [read post]
15 Oct 2009, 4:31 pm
FBR Capital Markets analyst Matt Snowling says the Wells notice could directly impact current and upcoming arbitration claims and litigation from investors who sustained losses from Schwab's two fixed-income mutual funds. [read post]
28 Dec 2017, 10:12 am
Hyperdynamics and affiliated Debtor SCS Corporation filed for Chapter 7 protection with the U.S. [read post]
10 Oct 2009, 2:45 am
Q-7: Must all fiduciaries be bonded? [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]
9 Jun 2008, 4:40 pm
Annuities contain investment instruments like mutual funds and an insurance wrapper. [read post]
16 Jan 2017, 9:57 am
The contributor was a foundation that was informed about the organization through a mutual acquaintance, and had no prior affiliation with the organization. [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]
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 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]
