Investment Management

We would not recommend enforcement action to the Commission under the provisions of the 1940 Act and the rules thereunder covered by the Existing Orders ...

We would not recommend enforcement action to the U.S. Securities and Exchange Commission (the "Commission") against a Fidelity Entity if that Fidelity Entity continues to ...

You represent that each filing made in reliance on the requested relief would be made in compliance with the conditions of Rule 486(b), and that ...

On the basis of the facts and representations set forth in your letter, we would not recommend enforcement action to the Commission against NWQ under ...

we would not recommend any enforcement action to the Commission under Section 6(b) of the Securities Act or Section 13(e) of the Exchange Act or ...

You assert that the Fund, its shareholders and potential investors also would benefit if the Fund's Post-Effective Amendments that comply with the conditions of Rule ...

We would not recommend enforcement action to the Commission under Section 12(d)(1)(A) or (B) of the 1940 Act against a Foreign Feeder Fund that acquires ...

An investment adviser with power to dispose of client funds or securities for any purpose other than authorized trading has access to the client’s assets.[8] ...

      Investment Company Act of 1940 — Rule 12d1-2 Dechert LLP — Request for Interpretation under Rule 12d1-2 January 25, 2017 RESPONSE OF ...

    Investment Company Act of 1940 — Rule 486(b) Invesco Senior Income Trust, et al. January 26, 2017 RESPONSE OF THE OFFICE OF CHIEF ...