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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]
7 Jun 2019, 11:12 am
If a customer sends an order to buy mutual funds via email but the stockbroker doesn't get the message, was there a bona fide order? [read post]
8 Aug 2008, 12:05 pm
Washington Mutual [read post]
29 Apr 2008, 3:35 am
(Update - May 7, 2008: Here is a column in The Economic Times analysing the new regulations on real estate mutual funds) [read post]
4 Nov 2011, 6:20 am
The Division’s ongoing study to examine the effectiveness of mutual fund shareholder reports in communicating useful information to individual investors. [read post]
7 Aug 2020, 5:48 am
More and more, America’s families save for their children’s education, for their own retirement, and for a host of other purposes by investing their money in mutual funds and relying on the asset management industry to put their money to work. [read post]
14 Apr 2017, 5:58 am
Costa, Eastman Chemical Co. and Business Roundtable, on Tuesday, April 11, 2017 Tags: Accountability, Business Roundtable, Disclosure, Dodd-Frank Act, Donald Trump, Financial regulation, Management, Market efficiency, Public interest, SEC rulemaking, Securities regulation, Taxation, Transparency Equity Suppliers in Bank Regulation Posted by Yesha Yadav, Vanderbilt Law School, on Wednesday, April 12, 2017 Tags: Asset management, Bailouts, Banks, Blockholders, Capital formation, Dodd-Frank Act,… [read post]
26 Jun 2019, 2:09 pm
Mutual of Omaha discharged Matthes on 3/12/2019, after allegations surfaced that he “created fictitious account statements and diverting customer funds for his own personal use. [read post]
23 Mar 2020, 6:56 am
Land Fund 7, LP Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
7 Sep 2008, 7:56 pm
Strong Opposition Voiced on SEC Proposal to Drop Ratings Requirement from Rule 2a-7 on Money Market FundsThe mutual fund industry strongly opposes the SEC's proposal to remove references to credit ratings from the rule governing money market funds and what securities they can invest in. [read post]
8 Jan 2021, 5:52 am
Gottfried, Morgan, Lewis & Bockius LLP, on Sunday, January 3, 2021 Tags: COVID-19, Hedge funds, Institutional Investors, Mergers & acquisitions, Mutual funds, Private funds, Shareholder activism Preparing for Shareholder Activism in 2021 Posted by Paul Tiger, Sebastian Fain, and Elizabeth K. [read post]
15 Nov 2021, 8:05 am
[7] Fireman’s Fund Ins. [read post]
11 Jan 2011, 8:00 am
” Janus fund investors lost millions of dollars across 7 different funds due to these practices. [read post]
28 Feb 2007, 7:52 am
[5] Bethany McLean, SEC slammed over hedge fund 'wealth' test, Fortune, February 11, 2007, available at [money.cnn.com] [6] No big hedge fund risk to markets seen, CNNMoney.com, February 23 2007, available at [money.cnn.com] [7] Andy Serwer, Shrugging off Amaranth, Fortune, October 3 2006, available at [money.cnn.com] [8] No big hedge fund risk to markets seen, CNNMoney.com, February 23 2007, available at [money.cnn.com] [9] Andy Serwer,… [read post]
28 Jun 2011, 5:00 am
First Derivative, a case that involved allegedly false disclosure in a prospectus issued by a mutual fund. [read post]
7 Jun 2018, 7:18 am
Portfolio insurance, or so-called “dynamic hedging,” was sold as a mechanism for mutual funds, insurance companies, pension funds, and others to protect their market gains from future declines. [3] This hedging strategy compounded selling into a declining market and accelerated the pace of the crash. [4] (more…) [read post]
5 Nov 2013, 11:59 am
Florida courts also hold that publicly traded stocks, bonds, and mutual funds purchased with worker's compensation benefits remain exempt. [read post]
28 Jul 2008, 2:56 pm
According to the Atlanta Journal and Constitution, Perimeter Mortgage Funding, which operated from 2001 to 2005 before collapsing, cost lenders $7 million. [read post]
14 Sep 2013, 12:05 pm
Under current requirements, all mutual funds disclose shareholders that own five percent or more of the outstanding shares of a class of funds. [read post]
11 Oct 2011, 9:23 am
Washington Mutual, Inc., the holding company for failed bank Washington Mutual, has faced some trouble having its reorganization plan accepted in bankruptcy court. [read post]
