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SEC Targets Another Fund Board in Recent Enforcement Case.
- Source :
- Financial Fraud Law Report; Jun2013, Vol. 5 Issue 6, p490-499, 10p
- Publication Year :
- 2013
-
Abstract
- The authors examine the implications of a recent order by the U.S. Securities and Exchange Commission instituting proceedings against the administrator and compliance services provider, as well as current and former members of the boards of trustees, of two registered investment companies in connection with alleged disclosure, reporting, recordkeeping, and compliance violations [ABSTRACT FROM AUTHOR]
- Subjects :
- LEGAL compliance
TRUSTS & trustees
DISCLOSURE
STOCKHOLDERS
Subjects
Details
- Language :
- English
- ISSN :
- 19365586
- Volume :
- 5
- Issue :
- 6
- Database :
- Complementary Index
- Journal :
- Financial Fraud Law Report
- Publication Type :
- Periodical
- Accession number :
- 89905762