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197 results found containing all search terms.
... lawyer explained, "particularly since the SEC enforcement unit was reportedly engaged in a 36(b) sweep, targeting fund groups' advisory fees and communications with ...
23 Nov 2022
... said their boards will receive back-testing related to Level 3 investments, compared to just 36% last year and 29% two years ago. Nearly one-fifth of participants ...
29 Sep 2022
... % in 2021, while new minority directors accounted for 24% in 2020 and 36% in 2021. "They are moving in the right direction, but ...
23 Sep 2022
... Birdthistle, seems to be rekindling the argument that fees are too high and Section 36(b) of the '40 Act may be being violated. Birdthistle first ...
01 Aug 2022
... fund adviser and that fund shareholders or the Commission may bring an action under Section 36(b) of the Investment Company Act of 1940. In fact, ...
28 Jul 2022
... . And while the percentage of CCOs with access to restricted stock plans in now 36% up from 29% in 2007 those offered stock options is just 10 ...
22 Jun 2022
... March 28, Birdthistle questioned whether mutual funds are honoring their fiduciary duties under Section 36(b) of the Investment Company Act of 1940 given that no plaintiff ...
12 Apr 2022
... of Investment Management, pondered whether mutual funds are honoring their fiduciary duties under Section 36(b) of the Investment Company Act of 1940 given that no plaintiff ...
29 Mar 2022
... % of ETFs have breakpoints and have reached the first tier, and of the 36% of open-end funds that have breakpoints, only 18% have broken through ...
24 Mar 2022
... led to tax bills that range from $9 ,000 to more than $36,000. In mid-December 2020, Vanguard announced it would "broaden access ...
22 Mar 2022
