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Money Market Funds: Governance (4)
Your search for Money Market Funds: Governance returned 4 results.
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6/18/2015 | Content area: Investment Adviser
If you’re an adviser to a mutual fund, a big takeaway from the SEC’s June 17 settlement with Commonwealth Capital Management ($18M in AUM) of Richmond...
4/23/2015 | Content area: Investment Adviser
The CFO fudged the numbers and can stay in that position. But he dropped his title as CCO after the SEC said he violated the Investment Company Act by...
1/29/2015 | Content area: Investment Adviser | Private Fund
Firms that remain stingy when it comes to supporting a compliance department should heed the lessons spawned by Ambassador Capital Management. The Det...
7/24/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is the final rule passed by the SEC in 2014 that brings reforms like a floating NAV and the imposition of fees and gates during times of stress t...


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