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Mutual Funds (190)
Your search for Mutual Funds returned 190 results.
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12/21/2018 | Content area: Investment Adviser
These proceedings arise out of improper mutual fund share class selection practices by registered investment adviser PPS and its majority owner, Lawre...
12/21/2018 | Content area: Investment Adviser
APA failed to disclose that it and its investment adviser representatives (“IARs”) had a conflict of interest as a result of the additional compensati...
12/21/2018 | Content area: Investment Adviser
These proceedings arise from breaches of fiduciary duty and inadequate disclosures by TFS, a registered investment adviser and broker-dealer, Parker a...
12/20/2018 | Content area: Investment Adviser | Private Fund
There may be 12 days of Christmas but you can count six regulations – four final rules and two proposals – newly gifted from SEC commissioners. Only o...
12/13/2018 | Content area: Investment Adviser
In a not-totally-unexpected move, the SEC is targeting advisers that may have placed clients in higher fee mutual fund share classes yet elected not t...
11/30/2018 | Content area: Investment Adviser
This document makes technical corrections to several amendments to Form N-1A, which the Commission adopted as part of three rulemakings: Investment Co...
11/21/2018 | Content area: Investment Adviser
In all honesty, if you’re an adviser with a mutual fund with more than $1 billion in assets, you should already have plans in place to comply with the...
11/15/2018 | Content area: Investment Adviser
This is the list of FAQs released by the SEC's Division of Investment Management in November 2018.
11/15/2018 | Content area: Investment Adviser
Next month, larger mutual funds will begin filing liquidity data on SEC Form N-CEN. Ahead of that deadline, the SEC’s Division of Investment Managemen...
11/12/2018 | Content area: Investment Adviser
If you’re an adviser to a mutual fund, then OCIE’s 4th risk alert of 2018 is for you.   The four-page alert, released Nov. 8, lays out what topics exa...
11/09/2018 | Content area: Investment Adviser
If you’re an adviser to a mutual fund that wishes to begin using swing pricing when the SEC’s rules take effect Nov. 19, remember you must have releva...
11/08/2018 | Content area: Investment Adviser
Examiners intend to focus on certain mutual funds and exchange-traded funds, the activities of their advisers, and boards of directors’ oversight. Exa...
10/29/2018 | Content area: Investment Adviser
We would not recommend that the Commission take any enforcement action under Section 5(b) or Section 6(a) of the Securities Act against any Fund if it...
10/18/2018 | Content area: Investment Adviser
A new “no-action” letter from the SEC’s Division of Investment Management permits mutual fund boards to hand off to their CCOs the job of confirming e...
10/16/2018 | Content area: Investment Adviser
The Division is working on several initiatives to help our markets grow and develop for the benefit of all market participants, including Main Street ...
10/12/2018 | Content area: Investment Adviser
We agree that the position you are requesting from us is consistent with the Commission’s approach in adopting Rule 38a-1 and would allow boards to av...
10/04/2018 | Content area: Investment Adviser
would not recommend that the Commission take any enforcement action under Section 5(b) or Section 6(a) of the Securities Act against the Fund if it fi...
9/19/2018 | Content area: Investment Adviser
Form N-LIQUID is to be used by a registered open-end management investment company, or series thereof (“fund”), under the Investment Company Act of 19...
9/18/2018 | Content area: Investment Adviser
This is the SEC's Form N-Port, including filing instructions.
9/14/2018 | Content area: Investment Adviser
CA failed to adopt and implement written compliance policies and procedures reasonably designed to prevent violations of the Advisers Act and the rule...


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