Search Results - subject:"Registered investment company"

SEC issues guidance on business continuity planning for registered investment companies

McCarthy, Diana; Gordon, Kay - In: The journal of investment compliance 17 (2016) 4, pp. 71-74

Persistent link: https://www.econbiz.de/10011616458

SEC issues guidance on business continuity planning for registered investment companies

McCarthy, Diana; Gordon, Kay - In: Journal of Investment Compliance 17 (2016) 4, pp. 71-74

Purpose To explain guidance from the US Securities and Exchange Commission (SEC) Division of Investment Management concerning registered investment companies’ business continuity and transition plans (BCPs). Design/methodology/approach Discusses the SEC’s concerns with fund complexes’...

Persistent link: https://www.econbiz.de/10014893910

CFTC harmonization rules : CPOs of RICs benefit from "substituted compliance"

Frydman, Daphne G.; Ramirez, Raymond A. - In: The journal of investment compliance 15 (2014) 1, pp. 17-24

Persistent link: https://www.econbiz.de/10010366733

All advisers to registered investment companies need to evaluate their exposure to CFTC regulation after recent rule amendment

Shea, Peter J.; Moriarty, Kathleen H.; Rosenzweig, … - In: Journal of Investment Compliance 13 (2012) 2, pp. 20-24

Purpose – The purpose of this article is to explain the implications for registered fund advisors of the February 9, 2012 final amendments the Commodity Futures Trading Commission (CFTC) made to its Rule 4.5 exemption from commodity pool operator (CPO) registration for registered funds....

Persistent link: https://www.econbiz.de/10014893419