Rule 38a-1 under the investment company act
Webb28 dec. 2024 · December 28, 2024 Rule 38a-1 under the Investment Company Act of … WebbRule 206(4)-7 under the Investment Advisers Act of 1940 (“Advisers Act”) and Rule 38a-1 …
Rule 38a-1 under the investment company act
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Webb21 juni 2024 · SEC Form 24F-2: A filing with the Securities and Exchange Commission (SEC) that must be submitted annually by open-end management investment companies, face-amount certificate companies, and unit ... WebbRule 206(4)-7 under the Advisers Act (the “Compliance Rule”) and Rule 38a-1 under the Investment Company Act require registered investment advisers and investment companies to adopt and implement written policies and procedures reasonably designed to prevent a violation of the federal securities laws (including the prevention of a …
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WebbAdopt and implement written policies and procedures reasonably designed to prevent … WebbRule 38a-1 imposes a broad requirement that funds have in place written compliance …
Webb11 feb. 2024 · On February 9, 2024, the SEC proposed numerous new rules and, …
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