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The concept of a multi-series trust first popped up in the 1980s. The trend shows that many newer and smaller advisers prefer to put their mutual ...
Investors may reasonably expect funds with these names to invest in companies with policies, practices, or characteristics that are consistent with these standards, particularly when ...
System "often failed" to correctly identify and implement purchase limits on Class C shares when lower cost A shares available
Since at least January 2016, and continuing from the date Harnish purchased KMA in February 2020 and through December 2020, KMA invested the vast majority ...
These disclosures did not adequately disclose all material facts regarding the conflicts of interest that arose when it invested advisory clients through the Introducing Broker-Dealer ...
The new proposal would hand compliance a second job
The certification shall identify the undertakings, provide written evidence of compliance in the form of a narrative, and be supported by exhibits sufficient to demonstrate ...
One part of the proposal asks should the Commission delegate to a fund’s CCO the duty to determine if the 80% threshold has been satisfied
"The proposal quite sensibly seeks to align the branding of funds with the reasonable expectations of investors. It is well thought-out and carefully crafted"
"The Names Rule has not been amended since its adoption in 2001. The industry has changed significantly in two decades .... The need for clarity in ...
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