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Keywords: Mutual funds
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (1): 43–52.
Published: 02 May 2017
... into expectations for compliance with Rule 22e-4. Rachael Leah Schwartz can be contacted at: rschwartz@schiffhardin.com © 2017 Schiff Hardin LLP 2017 Schiff Hardin LLP Licensed re-use rights only Governance Mutual funds Investment Company Act of 1940 US Securities and Exchange Commission (SEC...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2012) 13 (2): 60–65.
Published: 08 June 2012
...Robert N. Sobol Purpose The purpose of this paper is to provide an introduction to the distribution of mutual funds around the world, including a background on the lack of sales of US funds offshore and initial practical legal and compliance considerations regarding fund structure, multi...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (4): 21–25.
Published: 29 November 2011
... is? © Emerald Group Publishing Limited 2011 Investment advisers Hedge funds Mutual funds Securities Exchange Act of 1934 Securities regulation Investments Advisory services Hedging Regulation United States of America The US Supreme Court's recent decision in Janus Capital...
