THE ROLE OF GOVERNANCE IN THE REGISTERED INVESTMENT COMPANY
Exchange-Traded Equity Securities, Securities Issued by a Registered Investment Company
(mutual funds), Cash or Cash Equivalents, etc.).
Second, the adviser could not act as an adviser to any registered investment company
. Third, the adviser may not have custody of client funds or securities.
The SEC's order will find that State Street willfully violated Section 34(b) of the Investment Company Act of 1940 and caused violations of Section 31(a) of the Investment Company Act and Rule 31a-1(b) by providing its registered investment company
custody clients with trade confirmations and monthly transaction reports that were materially misleading in light of the representations it made about how it priced foreign currency exchange transactions.
UrbanAmerica is a minority-controlled, registered investment company
that seeks to make positive social and economic changes in communities while attaining high fiscal returns for its investors.
EAB is an SEC registered investment company
that provides a series of proprietary alpha generating and risk mitigating strategies for retail, institutional and family office investors.
Foreign pension funds would also be exempt from the Foreign Investment in Real Property Tax Act of 1980 (FIRPTA) under the provision that extends the inclusion of a registered investment company
within the definition of a "qualified investment entity" under Section 897 of the Tax Code through Dec.
The DPA says that Herckis cannot serve as a fund administrator or otherwise provide any services to any hedge fund for five years, and he also cannot associate with any broker-dealer, investment advisor or registered investment company
The HIT is a registered investment company
that invests in housing and economic development projects nationwide to produce competitive returns for its investors.
21 March 2019 - Guernsey registered investment company
Hipgnosis Songs Fund Ltd.