Investment Company Shareholders Lose Millions
Many investment funds have provisions which impose restrictions on the type or amount of investments which can be purchased by the firm. These can aid investors considering if they are interested in acquiring shares of a particular investment fund. If, …
Investment Company Shareholders Lose Millions
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The Investment Company Act contains a number of provisions which limit, restrict or prohibit registered entities from participating in certain types of transactions. In some instances, the provisions give the Commission the authority to grant an exemption. It would seem …
Advisors Engage in Prohibited Transactions While Awaiting Exemption Order Read More »