Mutual Funds

The Securities and Exchange Commission is adopting an interim final rule that revises the compliance date for the requirements of rule 22e-4 for classification, highly ...

You represent that each filing concerning the Securities that is made in reliance on the requested relief would be made in compliance with the conditions ...

While a settlement arising from this self-reporting initiative may allow an adviser to skirt paying penalties, the firm could expect to disgorge what it shouldn’t ...

This is the 3-page questionnaire released in February 2018 by the SEC for its new Share Class Selection Disclosure Initiative. This must be filed with ...

From February 2013 to December 2014, the NAV that Gemini gave to NASDAQ was inflated because Gemini included in the NAV fake assets that were ...

One sign many are taking from the new SEC FAQs is that the agency will reject industry pressure and implement its liquidity risk management rule ...

Here are the main requirements of Investment Company Act rule 22e–4 (liquidity risk management programs)(see related story): Develop relevant compliance P&Ps. These should cover the ...

With all current signs indicating larger mutual funds will have to have a liquidity risk management program in place by December, the SEC has released ...

In soliciting individual advisory clients to invest in mutual fund strategies managed by Atlas, Packerland recommended the purchase of a certain class of mutual fund ...

The Securities and Exchange Commission (the ‘‘Commission’’) is adopting a temporary final rule that requires funds in larger fund groups to maintain in their records ...