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Keywords: US Investment Company Act of 1940 (1940 Act)
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Journal Articles
Fintech companies face investment company status challenges
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2021) 22 (3): 236–242.
Published: 26 June 2021
... US government securities and cash items) in investment securities that are not Capital Preservation Investments, including Strategic Investments. [ 5 ] Interestingly, this 10% limitation was not set out as a condition to the SEC’s relief. Fintech US Investment Company Act of 1940 (1940 Act...
