Home Mutual Funds

Mutual Funds

Successful group of business people talking on the street
Revised rule 35d-1 would mandate a fund have a P&P mandating it invest at least 80% of its assets in accordance with its name, plus ...
Consultant giving some advice for customer at business meeting
This is the revised names rule approved by the SEC in 2023
Project management, leadership and planning with business people in meeting for marketing strategy, consulting and teamwork. Collaboration, growth and future with employees in office for research
This is the SEC's final rule affecting how registered funds name their funds. This was approved in 2023
Human hands exchanging money - closeup shot
In the 79 months of miscalculations, PIMCO never identified any concerns with the sub-administrator’s calculation of the Fee Waiver amounts
Listen to a secret
PIMCO inadequately disclosed that paired interest rate swaps in PGP’s portfolio had become a material source of distributable income, which enabled PIMCO to maintain PGP’s ...
SEC Chairman Gary Gensler
"To better address pricing and reduce dilution in times of stress, we proposed so-called swing pricing as well as alternatives regarding liquidity fees. Such swing ...
Mid adult woman leading a demonstration using a megaphone outdoors
If this were a boxing match, the SEC would be left bloodied—in a contest over the Commission’s proposed mutual fund liquidity risk and swing pricing ...
SEC Commissioner Hester Peirce
"I am particularly interested in hearing ... about the Commission’s recently proposed swing pricing and liquidity risk management rule. I voted against the proposal, in ...
Mutual fund share class selection/best ex case has Peirce and Uyeda claiming the SEC is "creating novel regulatory interpretations through enforcement"
Business Team Investment Entrepreneur Trading discussing and analysis graph stock market trading,stock chart concept
Respondents violated their duty to seek best execution on behalf of their clients by placing client transactions with HSC without evaluating whether HSC’s transaction fees ...
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination