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14 Dec 2010, 8:50 am
Transition Period for BVI Mutual Funds Act of 1996 Ends on December 31, 2010 Sponsors with funds located in the BVI should be aware that at the beginning of next year there will be a new regulatory regime. [read post]
6 Jul 2012, 1:46 pm
For example, the Commission amendment to the 1940 Investment Company Act’s Rule 2a-7 improved fund disclosures while limiting fund risks. [read post]
20 Feb 2009, 9:43 am
A tidal wave of layoffs has everyone talking about depression, and we've gotten more losses in the mutual fund world. [read post]
25 Apr 2013, 6:26 am
A BDC is a closed-end investment company that elects to be regulated under the Investment Company Act of 1940 (1940 Act), and thus, like a 1940 Act closed-end fund or mutual fund, is not by definition a "covered fund," which is defined generally as a vehicle that relies on the exception from the definition of investment company found in Section 3(c)(1) or Section 3(c)(7) of the 1940 Act. [read post]
23 Aug 2012, 1:41 pm
Rather, these funds exist due to Investment Company Act Rule 2a-7, which allows money funds to do business in exchange for limits on the types of investments these funds can make. [read post]
14 Sep 2017, 8:27 am
“SunTrust made self-serving investment recommendations to the detriment of everyday investors who rely on mutual funds to secure their financial futures,” said Aaron W. [read post]
10 Jun 2015, 9:21 am
Gana LLP has recently reviewed the worst performing Mutual Funds of 2014. [read post]
6 Oct 2014, 1:31 pm
Securities and Exchange Commission (SEC) voted 3–2 to significantly amend the regulatory framework of money market mutual funds (MMFs), particularly Rule 2a-7 under the Investment Company Act of 1940, as amended (the 1940 Act).1 These changes come four years after the SEC last adopted several amendments to Rule 2a-7 and follow a lengthy debate surrounding MMF reform among regulators and industry participants. [read post]
31 Mar 2010, 6:18 am
Slip op. 7. [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]
22 Jun 2013, 8:18 am
On June 5, 2013, the SEC voted unanimously to propose alternatives for amending rules that govern money market mutual funds under the Investment Company Act of 1940. [read post]
11 Mar 2019, 4:25 pm
Sanctioned for Mutual Fund Overcharges According to the Financial Industry Regulatory Authority (FINRA), the regulator has sanctioned broker-dealer ProEquities Inc. for alleged mutual fund overcharges. [read post]
5 Nov 2010, 9:41 am
First Derivative Traders, 566 F.3d 111 (4th Cir. 2009) involving alleged misstatements about market-timing in a mutual fund prospectus. [read post]
22 May 2009, 6:59 pm
In In re Mutual Funds Investment Litig. 2009 WL 1241574 (4th Cir. [read post]
10 Feb 2014, 2:50 pm
“The Federal Reserve Bank of New York [on February 7, 2014] released a series of research reports on “funding models,” or arrangements for financial intermediation. [read post]
3 Feb 2009, 8:34 am
These new sections, which are functionally equivalent to Section 3(c)(1) and Section 3(c)(7) respectively, will exempt hedge funds from the mutual fund regulations that are found in the Investment Company Act, provided that the hedge funds comply with the provisions of Section 6(g). [read post]
28 Jun 2010, 2:20 am
Event: Hedge Fund, Private Equity, Due Diligence and Risk Fundamentals Location: Toronto, Canada July 27 Sponsor: Kruse Asset Management Event: Individual bonds vs. bond mutual funds Location: Virtual event July 27 Sponsor: ACA Compliance Group Event: Marketing Guidance for Private Fund Managers Location: Virtual event July 27-28 Sponsor: Asia Business Forum Event: Indonesia Power Conference Location: Indonesia July 28 Sponsor: Bay Area Hedge… [read post]
7 Jun 2011, 12:10 pm
The SEC staff would not object if a mutual fund acquired shares of certain foreign investment companies in excess of the limits in Section 12(d)(1)(A) of the Investment Company Act. [read post]
7 May 2009, 4:27 pm
May 7, 2009). [read post]
7 Sep 2011, 8:01 pm
Connecticut James Kwak (Connecticut Law) presents “Trust Investment Law, ERISA, and Expensive Mutual Funds. [read post]
