Investment Advisors
April 2012
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Investment Management Group Partner Jim Kaiser Participates in Webinar on Current Valuation Issues Regarding Third-Party Pricing Vendors
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Wed 4thJim Kaiser, a partner in BBD’s Investment Management Group, recently recorded a Webinar with Kristin McCann, Compliance Officer for Gemini Fund Services, LLC, discussing the use of a third-party pricing vendor and why we all need to become more of a valuation expert. Jim and…
February 2012
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SEC Takes Aim at Money Market Funds: Understanding Potential Regulations
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Tue 28thMoney Market Funds currently comprise approximately $2.7 trillion in assets and are one of the most highly regulated forms of investment companies. Now the SEC is proposing reforms aimed at diminishing the perceived risk of investing in Money Market Funds. But these reforms may disrupt…
July 2011
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Recent Changes to Rule 2a-7 for Money Market Funds
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Fri 22ndLast year, the Securities and Exchange Commission ( “SEC”) implemented amendments to Rule 2a-7 compliance procedures for money market funds. The amendments are meant to provide better protection for money market fund investors.
Some of the areas with the most significant changes are:
- portfolio
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Initial Response to the Revised Custody Rule
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Thu 21stEffective March 12, 2010, the Securities and Exchange Commission (“SEC”) adopted amendments to Rule 206(4)-2 of the Investment Advisors Act of 1940 (the “Custody Rule”). These amendments are designed to provide additional safeguards when a registered advisor is deemed to have custody of client funds…
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