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29 Jan 2009, 2:44 pm
Hedge Fund Registration Requirements Definition of an Investment Company: Hedge Funds typically avoid regulatory requirements by claiming the exceptions to the definition of an investment company contained in §3(c)(1) or §3(c)(7) of the ICA. [read post]
13 Jan 2011, 8:00 am
” In short, Petitioners seem to think that the 7 Janus mutual funds and not JCM or JCG “made” the misrepresentations concerning market timing. [read post]
24 Sep 2021, 2:18 pm
The investments were purporting to be mutual funds, hedge funds, and index funds, but it is believed that they were fictitious. [read post]
20 Sep 2011, 9:00 pm
Shares of mutual funds. [read post]
9 Feb 2024, 6:30 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, February 9, 2024 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of February 2-8, 2024 The Corporate Investment Benefits of Mutual Fund Dual Holdings Posted by Rex Wang Renjie (Vrije Universiteit Amsterdam), Patrick Verwijmeren (Erasmus School of Economics), and Shuo Xia (Halle Institute for Economic Research), on Friday, February 2, 2024 Tags:… [read post]
9 Feb 2024, 6:30 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, February 9, 2024 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of February 2-8, 2024 The Corporate Investment Benefits of Mutual Fund Dual Holdings Posted by Rex Wang Renjie (Vrije Universiteit Amsterdam), Patrick Verwijmeren (Erasmus School of Economics), and Shuo Xia (Halle Institute for Economic Research), on Friday, February 2, 2024 Tags:… [read post]
1 Jul 2015, 4:00 am
The following are various hedge fund events happening this month. [read post]
1 Jul 2015, 4:00 am
The following are various hedge fund events happening this month. [read post]
15 Jan 2011, 5:00 am
The mutual funds happen to be the product of the company. [read post]
2 Aug 2019, 9:09 am
[contact-form-7]Contact UsShow less Frederick Markley Stow Discharged by Raymond James & Associates, Inc. [read post]
2 Aug 2019, 9:09 am
[contact-form-7]Contact UsShow less Frederick Markley Stow Discharged by Raymond James & Associates, Inc. [read post]
31 Mar 2020, 6:24 am
For investors who own high-yield mutual funds and indices, it behooves them to check and see if the underlying assets in the funds are riskier than they originally thought. [read post]
11 Mar 2014, 3:39 pm
Id. at *7. [read post]
6 May 2021, 8:45 pm
The second is the review of the minimum requirement for own funds and eligible liabilities (MREL). [read post]
14 Jan 2011, 5:00 am
” Perry swiftly responded that in-house counsel for investment advisers to mutual funds can “wear many hats” and that when working on fund matters, they were representing the Janus mutual funds, not the JCM. [read post]
8 Apr 2010, 12:19 pm
Federal officials have charged the well known mutual fund manager Morgan Keegan & Co. with fraud for allegedly inflating the value and downplaying the risk of securities backed by subprime mortgages. [read post]
19 Nov 2011, 9:21 pm
The net asset value of the 7 funds dropped by about 30-50% that year while similar municipal bonds only went down by 10-15%. [read post]
18 Jan 2010, 7:30 am
The OSC indicated that it is of the view that the exemption codified under section 2.5(7) of NI 81-102 still applies even where the fund has obtained an exemption from some of the conditions in section 2.5(2). [read post]
11 May 2017, 7:36 am
Those funds also will go to brokerage clients who were steered into more expensive mutual fund share classes. [read post]
9 Dec 2022, 6:34 am
Farrar, Sullivan & Cromwell LLP, on Friday, December 2, 2022 Tags: ESG, Investment Company Act, Mutual funds, Rule 30e-3, SEC, SEC enforcement, XBRL The Director’s Guide to Shareholder Activism Posted by Maria Castañón Moats, Paul DeNicola, Matt DiGuiseppe, PricewaterhouseCoopers LLP, on Friday, December 2, 2022 Tags: Board of Directors, Executive Compensation, Hedge funds, Institutional Investors, Proxy fights, Shareholder activism The… [read post]
