Home Mutual Funds

Mutual Funds

The Treasury Department has squeezed mutual funds into the definition of a financial institution under the Bank Secrecy Act, meaning funds will have to have ...
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 ...
This is a final rule released by the SEC in February 2010 affecting money market funds. It carries various compliance dates (S7–11–09 and S7–20–09).
The SEC's final rule from December 2009 governing proxy disclosures.
Mutual fund boards are being urged to ask their principal investment adviser many questions about any fund subadvisers, including whether the fund's CCO has reviewed ...
Struggles over estimating fair value of investments that calculate NAV have been well documented of late and now the American Institute of Certified Public Accountants ...
California always has to be first. A federal judge there Dec. 28 issued an opinion in a lawsuit that claimed a mutual fund violated its ...
Congress and the SEC must move ahead to harmonize investment adviser and broker-dealer regimes, extend a "meaningful" fiduciary duty standard to all and install "an ...
Next year marks the compliance deadline for mutual funds to create a summary prospectus (IA Watch, Jan. 19, 2009). The SEC may extend the concept ...
Allegations of disposable cell phones used to relate secrets, a lawyer who divulged pending acquisitions, suspects deploying code words and a broker-dealer known as "the ...
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination