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Mutual Funds: Disclosure (84)
Your search for Mutual Funds: Disclosure returned 84 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...
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...
10/25/2018 | Content area: Investment Adviser
Division staff remain available to advise and assist, just as we always have. We will continue to issue FAQs, no-action letters and other guidance, as...
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.
7/05/2018 | Content area: Investment Adviser
The SEC’s revised approach to liquidity risk management gives advisers extra time to describe their programs, which will now only need to be a narrati...
6/08/2018 | Content area: Investment Adviser
One view holds that the complex and costly Volcker rule must be changed to more easily permit hedging and market making. The second view fears looseni...
5/24/2018 | Content area: Investment Adviser
Fewer than two dozen comments came into the SEC after its March proposal to reverse direction on its liquidity risk management disclosure rule (IA Wat...
4/06/2018 | Content area: Investment Adviser
These proceedings arise out of breaches of fiduciary duty, inadequate disclosures, and deficiencies in compliance policies and procedures by registere...
3/14/2018 | Content area: Investment Adviser
The Securities and Exchange Commission is proposing amendments to its forms designed to improve the reporting and disclosure of liquidity information ...
3/14/2018 | Content area: Investment Adviser
A reflection of how Washington works these days can be seen in the SEC Commission meeting March 14. It marked the first time a full five-member Commis...
3/01/2018 | Content area: Investment Adviser
The six-month delay affecting parts of the SEC’s liquidity risk management program may not be enough (IA Watch, Feb. 22, 2018).   “The reprieve is cer...
2/28/2018 | Content area: Investment Adviser | Broker-Dealer
Ameriprise did so without disclosing that it would receive greater compensation from the Eligible Customers’ purchases of the more expensive share cla...
2/22/2018 | Content area: Investment Adviser
Now that you have four months to decide whether to take advantage of the SEC’s offer to self-report share class violations, don’t dally (IA Watch, Feb...
2/12/2018 | Content area: Investment Adviser
For years the SEC has announced enforcement cases fining advisers for putting clients in higher fee mutual fund share classes without adequately discl...
2/12/2018 | Content area: Investment Adviser
This is the 3-page questionnaire released in February 2018 by the SEC for its new Share Class Selection Disclosure Initiative. This must be filed with...
12/14/2017 | Content area: Investment Adviser
The Securities and Exchange Commission (the ‘‘Commission’’) is adopting a temporary final rule that requires funds in larger fund groups to maintain i...
12/12/2017 | Content area: Investment Adviser
Based on the facts and representations set forth in your letter, we would not recommend that the Commission take any enforcement action under Section ...


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