Search for: "Mutual Benefit Funding"
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18 Aug 2010, 5:00 am
Most investors choose mutual funds because of the benefits of professional management and diversification that they provide. [read post]
19 Mar 2019, 11:18 am
The advisers also agreed to assess whether their current clients would benefit from being moved to a less costly mutual fund share class. [read post]
11 Dec 2009, 5:05 am
The Funds' assets typically consist of shares of affiliated mutual funds. [read post]
18 Feb 2022, 9:15 am
Investment Management Company for breaches of its fiduciary duty to its clients in connection with its selection of mutual funds that benefited its parent company. [read post]
18 Aug 2009, 8:00 am
Even in areas where Advisers have an affirmative duty to act on behalf of the funds they manage (and thus to benefit the underlying investors in those funds), they fall short. [read post]
26 May 2018, 1:00 am
There are 9,500 mutual funds for you to buy. [read post]
23 Jul 2010, 8:23 am
Overall, the 25 mutual fund families were slightly less willing to vote against directors over compensation issues. [read post]
7 Aug 2020, 4:00 am
Park Avenue Securities in New York, New York, submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which the firm was censured for allegedly engaging in multiclass mutual fund abuse and failed to establish and maintain a supervisory system and written supervisory procedures reasonably designed to ensure that customers who purchased mutual fund shares received the benefit of applicable sales… [read post]
19 Aug 2020, 4:00 am
Western International Securities in Pasadena, California submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which the firm was censured for allegedly engaging in Multiclass Mutual Fund Abuse and failed to establish and maintain a supervisory system and written supervisory procedures reasonably designed to ensure that eligible customers who purchased mutual fund shares received the benefit… [read post]
19 Aug 2020, 4:00 am
Western International Securities in Pasadena, California submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which the firm was censured for allegedly engaging in Multiclass Mutual Fund Abuse and failed to establish and maintain a supervisory system and written supervisory procedures reasonably designed to ensure that eligible customers who purchased mutual fund shares received the benefit… [read post]
6 Jul 2017, 2:25 pm
Frequent trading and switching between the mutual funds and mutual fund families is unsuitable for any customer. [read post]
19 Aug 2010, 5:00 am
“At the time, it was thought that investors would benefit if a fund could 'grow' by using some of its own assets to market itself and make distribution payments. [read post]
4 Feb 2008, 11:09 pm
But depending upon the nature of the fund, any income distributed by the mutual fund attracts a distribution tax. [read post]
23 May 2014, 4:57 am
The other big finding is that mutual funds are also becoming more independent from ISS recommendations – dropping from a 78% rate in 2006 down to 59% in 2010. [read post]
7 Jul 2008, 1:45 pm
Not long ago I heard a radio ad from the American Petroleum Institute (I think) that talked about mutual funds that have invested in oil and petroleum companies and how those funds benefit from that investment. [read post]
14 Mar 2016, 11:19 am
“Investment advisers must be vigilant about conflicts of interest when selecting mutual fund share classes because the choice may improperly benefit them at the expense of their clients,” said Marshall S. [read post]
15 Mar 2010, 2:50 pm
Excerpt from Speech by SEC Commissioner Luis Aguilar, Making Sure Investors Benefit from Money Market Fund Reform, Investment Company Institute and Federal Bar Association Mutual Funds and Investment Management Conference, Phoenix, AZ, March 15, 2010: Potential Further Action Notwithstanding the... [read post]
17 Apr 2012, 7:56 am
“The mutual fund industry continues to embrace alternative investment strategies during this volatile market, and we look forward to working with Cole-Frieman to help emerging advisers reap the benefits of implementing their own alternative strategies,” said Andrew Rogers, President of Gemini. [read post]
4 Aug 2015, 5:53 am
The attorneys at Gana LLP have been following the collapse of a series of mutual funds managed by Cushing Asset Management. [read post]
23 Jul 2010, 11:25 am
SunTrust Investment Services Fined $1.44 Million for Fraudulent Sales of Unit Investment trusts and Mutual Funds. [read post]
