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- Investment Management Regulation Committee
Reports
October 1, 2008
Comments on the SEC proposed guidance regarding the duties and responsibilities of Investment Company Boards of Directors with Respect to Investment Adviser Portfolio Trading Practices (October 2008)
Comments on the SEC proposed guidance regarding the duties and responsibilities of Investment Company Boards of Directors with Respect to Investment Adviser Portfolio Trading Practices (October 2008)Reports
March 1, 2008
Letter to the SEC offering comments to the proposed amendments which seek to enhance the disclosure provided to investors in registered open-end management investment companies
Letter to the SEC offering comments to the proposed amendments which seek to enhance the disclosure provided to investors in registered open-end management investment companiesReports
January 1, 2008
Letter to the SEC commenting on proposed recommendations to alleviate unnecessary burdens on independent directors of investment companies registered under the Investment Company Act of 1940
Letter to the SEC commenting on proposed recommendations to alleviate unnecessary burdens on independent directors of investment companies registered under the Investment Company Act of 1940Reports
November 1, 2005
Letter to the SEC urging them to file an amicus brief in the case of J. & W. Seligman & Co. Incorporated v. Eliot Spitzer in order to articulate the scope of state regulators’ authority under the ICA and the National Securities Markets Improvement Act of 1996 (NSMIA)to investigate and litigate advisory fee issues.
Letter to the SEC urging them to file an amicus brief in the case of J. & W. Seligman & Co. Incorporated v. Eliot Spitzer in order to articulate the scope of state regulators’ authority under the ICA and the National Securities Markets Improvement Act of 1996 (NSMIA)to investigate and litigate advisory fee issues.Reports
November 1, 2005