The US Securities and Exchange Commission’s (SEC’s) Division of Examinations recently issued a Risk Alert citing recent deficiencies observed during examinations of registered funds, including the mischaracterization of...more
Rule 12d1-4 under the Investment Company Act of 1940 permits funds to enter into “funds of funds” arrangements notwithstanding the prohibitions of Section 12(d)(1) of the Act of 1940, provided that certain conditions are met....more
5/3/2021
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