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Mutual Funds: Governance (49)
Your search for Mutual Funds: Governance returned 49 results.
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3/08/2019 | Content area: Investment Adviser
In recognition that business can be conducted from anywhere these days, the SEC’s Division of Investment Management has issued no-action relief reques...
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...
9/13/2018 | Content area: Investment Adviser
The fundamental benefit of placing your mutual fund on a multi-series trust platform is that you’re handing over the responsibility for operations to ...
3/29/2016 | Content area: Investment Adviser
Boards should also think more broadly about the emerging problems of tomorrow and what issues they may be missing. In doing their jobs in 2016, direc...
6/17/2015 | Content area: Investment Adviser
This matter involves the failure of a mutual fund adviser and the funds’ board members to satisfy specific duties imposed upon them by Section 15(c) o...
1/22/2015 | Content area: Investment Adviser
The timing couldn’t be better for the Investment Company Institute’s new 24-page Report on Funds’ Use of Proxy Advisory Firms, given that OCIE just li...
6/23/2014 | Content area: Investment Adviser
Anyone who owns five percent or more of the outstanding voting securities for any mutual fund series company automatically qualifies as an affiliated ...
3/10/2014 | Content area: Investment Adviser
One result of a new U.S. Supreme Court ruling affecting investment advisers may be more whistleblowers turning to the compliance department to report ...
10/21/2013 | Content area: Investment Adviser
The latest guidance from the SEC's Division of Investment Management takes on the situation where an investment adviser temporarily manages a register...
11/08/2010 | Content area: Investment Adviser
Last week's SEC no-action letter seemed to come out of nowhere yet it served to send a statement to fund boards that they're ultimately responsible fo...
4/12/2010 | Content area: Investment Adviser
If you haven't had the experience yet, chances are there'll be a day when you must stand before a board of directors. Here are some tips to pull off t...
2/08/2010 | Content area: Investment Adviser
Mutual fund boards are being urged to ask their principal investment adviser many questions about any fund subadvisers, including whether the fund's C...
3/14/2006 | Content area: Investment Adviser
Putnam Premier Income Trust - Frank H. Goodson: No-Action letter dated March 14, 2006 Securities Exchange Act of ...
3/14/2006 | Content area: Investment Adviser
Putnam High Income Securities Fund - Robert P. Laukat: No-Action letter dated March 14, 2006 Securities Exchange ...
12/21/2005 | Content area: Investment Adviser
Investment Company Act of 1940 - Section 17(a) GE Institutional Funds December 21, 2005 RESPONSE...
12/20/2005 | Content area: Investment Adviser
No-Action Letter under Securities Exchange Act of 1934 – Rule 10A-3 and Form N-SAR and N-CSR The Pioneer F...
8/08/2005 | Content area: Investment Adviser
Securities Exchange Act of 1934 - Rule 14a-8(f)(1) Putnam Tax-Free Health Care Fund August 8, 2005 Joh...
6/30/2005 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26985; File No. S7-03-04]RIN 3235-AJ05Investment Company GovernanceAGENCY:Securities ...
4/01/2005 | Content area: Investment Adviser
Investment Company Act of 1940 - Section 15(a) and 2(a)(20) Mellon Equity Associates, LLP April 1, 2005 ...
3/10/2005 | Content area: Investment Adviser
Securities Exchange Act of 1934 - Section 14(a) and Rule 14a8-(b)(1) Fidelity Magellan Fund - Shareholder Pr...


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