Search for: "Affiliate of Mutual Fund 7"
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18 Jul 2011, 2:00 am
Most often, these will be private funds exempt from registering under Section 3(c)(1) or 3(c)(7) of the Investment Company Act, but would also include a private fund exempt under another section of the Investment Company Act as long as the adviser treats such fund as a private fund under the Investment Advisers Act for all purposes. [read post]
31 Jan 2011, 12:05 pm
Such a “nonbank financial company” could be, for example: (i) an insurance company; (ii) a securities firm; (iii) a mutual fund group; (iv) a private equity or hedge fund group; or (iv) a finance or lending company. [read post]
21 Mar 2016, 4:00 am
Bankruptcy Code.The agreement contemplates the establishment of a $480 million trust (the Trust) to be fully funded within a year of consummation of the proposed plan. [read post]
30 Jun 2008, 11:36 pm
Rather than targeting just public company defendants, the plaintiffs in many of these lawsuits targeted, for example, hedge funds (refer here) and mutual funds (refer here). [read post]
29 Jul 2022, 5:30 am
For example, Comptroller DiNapoli recently presented a member of the Council of School Supervisors and Administrators with an unclaimed funds check for $841.98 at the Comptroller's School Safety Roundtable Discussion. [read post]
29 Jul 2022, 5:30 am
For example, Comptroller DiNapoli recently presented a member of the Council of School Supervisors and Administrators with an unclaimed funds check for $841.98 at the Comptroller's School Safety Roundtable Discussion. [read post]
23 Aug 2012, 8:33 pm
A 12b-1 fee is paid by a mutual fund out of fund assets to cover certain expenses. [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]
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]
22 May 2012, 6:30 am
These letters included supportive comments from John Bogle, the former chief executive and senior chairman of The Vanguard Group, as well as a letter from a group of mutual fund and institutional asset managers with more than $690 billion under management. [read post]
2 Aug 2017, 7:34 am
Compared to traditional investments, such as stocks, bonds and mutual funds, non-traded REITS, are considerably more complex and involve a high degree of risk. [read post]
29 Jan 2016, 8:42 am
(Pix © Larry Catá Backer 2015 )In 2015, Chinese authorities released an initial draft of a Charity Undertakings Law 中华人民共和国慈善事业法（草案）to which Chinese authorities invited commentary. [read post]
2 Jan 2019, 9:04 am
Mutual funds can carry sales loads between 3 to 6 percent while non-traded REITs and other Regulation D private placement investments often have high fees that can range from 7-10%, as well as additional “due diligence fees” that can range from 1-3%. [read post]
17 Jan 2019, 4:48 pm
We have been writing about the pervasive importance of the Trump Administration's National Security Strategy as a driver of U.S. foreign and strategic policy (here, here, and here). [read post]
26 Jul 2022, 9:01 pm
And we understand that firms have developed a variety of solutions to address the impact of MiFID II: Some broker-dealers have dually registered as investment advisers and others utilize a registered adviser affiliate to provide certain research services. [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]
7 Aug 2007, 11:03 am
Basically, she recommended unsuitable mutual funds and variable annuities to a number of elderly and retired customers. [read post]
21 Oct 2010, 6:53 am
Disclosures The information presented above was prepared by Dimensional Fund Advisors, a non-affiliated third party. [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]
