| May 15, 2010 |
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SEC's New Proxy Disclosure Enhancements Require Updates to Registration Statements and Trustee & Officer Questionnaires
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| Posted By Cynthia Baughman |
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| On February 28, 2010, the SEC's new proxy disclosure enhancements went into effect. Not only do the new disclosure rules make changes to proxy statements and information statements, they also require funds to make updates to their registration ... |
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| Continue reading "SEC's New Proxy Disclosure Enhancements Require Updates to Registration Statements and Trustee & Officer Questionnaires " » |
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| January 05, 2010 |
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Mutual Fund Summary Prospectus
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| Posted By Daphne Chisolm |
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| 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 ... |
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| Continue reading "Mutual Fund Summary Prospectus " » |
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| December 18, 2009 |
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SEC Adopts Safeguards to Protect Client Assets Controlled by Investment Advisers
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| Posted By Daphne Chisolm |
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| 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 ... |
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| Continue reading "SEC Adopts Safeguards to Protect Client Assets Controlled by Investment Advisers" » |
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| November 07, 2009 |
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Fund Reorganizations Could Cut Costs and Improve Efficiency
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| Posted By Daphne Chisolm |
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| 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 ... |
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| Continue reading "Fund Reorganizations Could Cut Costs and Improve Efficiency" » |
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