Mutual Funds

It was 1929, a watershed year for the financial services industry, when Adams Diversified Equity Fund Inc. opened its doors as an internally managed closed-end ...

If you’re an investment company adviser that’s never been examined by the SEC and the fund has been registered for more than a year, you ...

The CFO fudged the numbers and can stay in that position. But he dropped his title as CCO after the SEC said he violated the ...

This proceeding relates to certain inaccurate and incomplete information furnished by a registered investment adviser, Kornitzer Capital Management, Inc., and its chief financial officer and chief ...

The national exam staff intends to focus on certain never-before-examined registered investment companies. Such examinations will focus on the following topics: compliance programs; annual contract ...

Call it IA vs. IA. A decision this month by a federal appeals court could open the door to more lawsuits against investment advisers when ...

It’s well established that examiners will likely question adviser accounts with little trade activity that were moved from 401(k) plans (IA Watch, March 5, 2015). ...

This is a copy of a SEC document request letter received for an exam of an investment company adviser.

If you’re a compliance officer for a fund adviser, chances are you’re well aware a gifts and entertainment policy should be in your code of ...

It’s too early for results from OCIE’s sweep exam of alternative mutual funds conducted last year (IA Watch, Aug. 28, 2014), and it’s not even ...