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Author: Richard J. Hillman
Publisher: DIANE Publishing
Keywords: benefits, potential, significan, oversight, remain, challenges, offers, approach, industry, fund, sec, revised, examination, mutual
Number of Pages: 56
Published: 2006-02
ISBN-10: 1422303888
ISBN-13: 9781422303887

As the front-line regulator of mutual funds, the Securities & Exchange Commission (SEC) plays a key role in protecting the nearly half of all U.S. households owning mutual funds, valued around $8 trillion in 2005. Mutual fund abuses raised questions bout the integrity of the industry & quality of oversight provided by SEC & self-regulatory organizations that regulate broker-dealers selling funds. This report assesses: (1) changes SEC has made to, or is planning for, its mutual fund examination program; (2) key aspects of SEC's quality control framework for routine fund examinations; & (3) the

Author: Richard J. Hillman
Publisher: DIANE Publishing
Keywords: disclosure, congressional, testimony, related, fees, funds, information, trends, mutual
Number of Pages: 22
Published: 2008-08-01
ISBN-10: 1437904653
ISBN-13: 9781437904659

Millions of U.S. households have invested in mutual funds whose value exceeded $6 trillion in 2003. The fees and other costs that these investors pay as part of owning mutual funds can significantly affect their investment returns. Press reports suggest that mutual fund fees have increased during the market downturn in the several years prior to 2003. In addition, questions have been raised as to whether the disclosures of these fees and other costs, such as brokerage commissions, are sufficiently transparent. In March 2003, a report showed the trends in mutual fund fees from 1990 and 1998 for

Author: DIANE Publishing Company
Publisher: DIANE Publishing
Keywords: assets, funds, mutual, bank, investments, proprietary
Number of Pages: 47
Published: 2004-12-31
ISBN-10: 0788120379
ISBN-13: 9780788120374

Determines the extent to which banks have invested assets in trust accounts in bank proprietary mutual funds, including the extent to which trust assets have been converted to proprietary mutual funds; whether the law permits double fees on trust assets invested in proprietary mutual funds & the nature of controls against banks acting in their self-interest when trust assets are invested in proprietary mutual funds.

Author: David Michael Walker
Publisher: DIANE Publishing
Keywords: mutual, funds, management, sale, improve, regulatory, assessment, reforms
Number of Pages: 32
ISBN-10: 1428937528
ISBN-13: 9781428937529

Author: Michael Laitman
Publisher: Laitman Kabbalah Publishers
Keywords: recovery, global, crisis, key, guarantee, new, world, mutual, guide
Number of Pages: 158
Published: 2012-07-16
ISBN-10: 1897448724
ISBN-13: 9781897448724

Why does 1% of the world population own 40% of the wealth? Why are education systems throughout the world producing unhappy, poorly educated children? Why is there hunger? Why are food prices rising when there is more than enough food for everyone? Why are there still countries where human dignity and social justice are nonexistent? And when and how will these wrongs be made right? In 2011, these questions touched the hearts of hundreds of millions the world over. The cry for social justice has become a demand around which all can unite. We all long for a society where we can feel safe, trust

Author: Unknown
Publisher: Organisation for Economic Co-operation and Develop
Keywords: funds, possible, tax, distortions, mutual, investment, cross, border, portfolio, taxation
Number of Pages: 173
Published: 1999-01-01
ISBN-10: 9264170456
ISBN-13: 9789264170452

The past decade has witnessed a significant increase in cross-border capital flows and a pronounced shift in their composition towards portfolio investment, with much of the capital under management by mutual funds or "collective investment institution

Author: Richard J. Hillman
Publisher: DIANE Publishing
Keywords: could, penalties, strengthen, certain, controls, internal, setting, procedures, trading, fund, abuses, sec, applied, consistently, mutual
Number of Pages: 44
Published: 2005-11
ISBN-10: 142230177X
ISBN-13: 9781422301777

There are 2 types of trading abuses in the mutual fund industry -- market timing & late trading. Market timing involves situations where invest. advisers entered into undisclosed arrange. with customers who were permitted to trade freq'y. in contravention of stated trading limits. These arrangements increased transaction costs & lowered returns. Late trading occurs when investors place trades after the mutual fund has calculated the price of its shares, usually at the 4:00 p.m. EST close, but receive that day's fund share price. These investors have an opportunity to profit. This report: discu
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