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The final rule will effectively codify two decades’ worth of exemptive orders permitting registered funds and BDCs to exceed Investment Company Act Section 12 ownership ...
The SRO seeks five key items via its information request letter
The SEC passed this fund of funds' rule in 2020. It affect investment advisers to mutual funds but not private funds.
CSM to pay $260K for breaching fiduciary duty, not adequately disclosing conflicts, and failing to seek best execution
The proposal is designed to alleviate concerns that fund retail shareholders currently may receive disclosure materials that are not well-suited to their needs, which may ...
This rule "will modernize the regulatory framework for funds to reflect the broad ways in which funds’ use of derivatives has developed over past decades, ...
"We are expressing a Staff position that an investment adviser relying on the exception for limited partnerships (or limited liability companies or other types of ...
Fund of funds arrangements, derivatives, fund valuation, advertising, and solicitation are all on the agenda
TAM required four money market funds it advised to reimburse fees and expenses previously waived
To meet this fiduciary obligation, HWIS was required to provide its advisory clients with full and fair disclosure that is sufficiently specific so that they ...
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