January 05, 2010   Mutual Fund Summary Prospectus Posted By Daphne Chisolm Form and Rule Changes The SEC adopted revisions to Form N-1A that require mutual funds to provide a new summary section at the front of the prospectus with key information about the fund such as its investment objective and strategies, risks, costs ... Continue reading "Mutual Fund Summary Prospectus " » Permalink   December 18, 2009   SEC Adopts Safeguards to Protect Client Assets Controlled by Investment Advisers Posted By Daphne Chisolm On December 16, 2009, the SEC announced that it had adopted rules to increase the protections for investors who turn their money and securities over to SEC-registered investment advisers. The new rules stem in large part from the recent Madoff Ponzi ... Continue reading "SEC Adopts Safeguards to Protect Client Assets Controlled by Investment Advisers" » Permalink   November 07, 2009   Fund Reorganizations Could Cut Costs and Improve Efficiency Posted By Daphne Chisolm In the current economic climate, ways to streamline, downsize and generally become more efficient can prove valuable in the long run. For the fund industry, one way to realize some efficiencies may be to consider a reorganization of one or more ... Continue reading "Fund Reorganizations Could Cut Costs and Improve Efficiency" » Permalink   MESSAGE: Recent Posts Mutual Fund Summary Prospectus SEC Adopts Safeguards to Protect Client Assets Controlled by Investment Advisers Fund Reorganizations Could Cut Costs and Improve Efficiency Categories Investment Advisers (1) Investment Companies (2) Archives January 2010 December 2009 November 2009

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