Persistent performance in the mutual fund market: Tests with funds and investment advisers

1994 ◽  
Vol 4 (2) ◽  
pp. 115-135 ◽  
Author(s):  
Ravi Shukla ◽  
Charles Trzcinka
Keyword(s):  
Mutual Fund ◽  
Investment Advisers

SEC Enforcement: Self-Reporting Share Class Selection Disclosure Initiative

2018 ◽  
Vol 19 (2) ◽  
pp. 16-18
Author(s):  
Elaine Greenberg
Keyword(s):  
Mutual Fund ◽  
Conflicts Of Interest ◽  
Self Report ◽  
Complex Nature ◽  
Collateral Consequences ◽  
Content Type ◽  
Applicable Law ◽  
Enforcement Action ◽  
Business Operations ◽  
Investment Advisers

Purpose This paper aims to explain the U.S. Securities and Exchange Commission’s (SEC’s) recent Share Class Selection Disclosure (SCSD) Initiative, which offers potentially favorable settlement terms to investment advisers who self-report to the SEC’s Enforcement Division violations of the federal securities laws relating to certain mutual fund share class selection issues and to discuss factors for consideration by investment advisers regarding their possible participation in this initiative. Design/methodology/approach This paper discusses the conditions and terms of the SEC’s SCSD Initiative, the SEC’s focus on conflicts of interest associated with mutual fund share class selection, the applicable law, the complex nature of these issues and the factors that investment advisers should consider in determining whether to participate in the initiative. Findings The assessment of the facts and the evaluation and analysis of the issues may be both time-consuming and complex. Firms need to carefully consider whether the potential benefits of self-reporting outweigh any possible downsides, including the potential collateral consequences that an SEC enforcement action may have on their business operations. Originality/value This paper contains valuable information about a recent SEC Enforcement Initiative and provides practical guidance from experienced securities counsel.

scholarly journals SURVEY ON ADVISOR INTELLIGENCE THROUGH PURCHASE PATTERNS AND SALES ANALYTICS

2017 ◽  
Vol 10 (13) ◽  
pp. 302
Author(s):  
Gayatri K. Pradhan ◽  
Sarath Gollapalli ◽  
M Janakimeena ◽  
Syedibrahim Sp
Keyword(s):  
Mutual Funds ◽  
Mutual Fund ◽  
Exchange Traded Funds ◽  
Data Points ◽  
Investment Advisers ◽  
Purchase Patterns ◽  
Investment Advisor ◽  
Insight Into ◽  
Analyze Data

In mutual fund, an individual or a firm that is in the business of giving advice about securities to clients is an investment advisor. Investment advisers are individuals or firms that receive compensation for giving advice on investing in stocks, bonds, mutual funds, or exchange-traded funds. Investment advisors manage portfolios of securities. Advisors can use new cognitive and analytics capabilities to better understand their clients and needs and have a stronger ability to deepen relationships with a better portfolio. In this paper, we analyze data points foreach advisor, and distinguish the best prospects, obtain insight into their experience and credentials, and learn about their portfolio, in other words, to recognize the pattern of portfolio of the advisors. Such analysis helps the sales people to sell the fund company products to the suitable advisors based on the nature of the product they want to sell. This is done by investigating what kind of products advisors have been buying, and what kind of products they might be looking for. This helps to increase the sales of the products as sales people will be reaching the appropriate advisors.

SEC publishes guidance on mutual fund distribution and sub-accounting fees

2016 ◽  
Vol 17 (2) ◽  
pp. 39-42 ◽  
Author(s):  
Marco Adelfio ◽  
Paul J. Delligatti ◽  
Jason F. Monfort
Keyword(s):  
Mutual Funds ◽  
Mutual Fund ◽  
Financial Services ◽  
Design Methodology ◽  
Investment Management ◽  
Content Type ◽  
Enforcement Action ◽  
Policies And Procedures ◽  
Practical Guidance ◽  
Investment Advisers

Purpose To explain the guidance published on January 6, 2016 by the SEC’s Division of Investment Management containing its views and recommendations relating to mutual fund distribution and sub-accounting fees. Design/methodology/approach Explains the SEC’s Office of Compliance Inspections and Examinations focus on “distribution in guise” payments, its 2013 “sweep exam,” an enforcement action against a fund’s adviser and affiliated distributor related to payments for distribution-related activities outside of a 12b-1 plan, lists SEC staff recommendations with respect to mutual fund distribution and sub-accounting fees, summarizes the SEC’s guidance on board oversight of sub-accounting fees, provides indicia that a payment may be for distribution-related activities, and points to the need for mutual funds to have policies and procedures designed to prevent violations of Section 12(b) and Rule 12b-1. Findings The guidance is an outgrowth of the staff’s observations from a three-year “distribution in guise” sweep exam of mutual fund complexes, investment advisers, broker-dealers and transfer agents conducted by the SEC’s Office of Compliance Inspections and Examinations and other offices and divisions of the SEC to identify whether firms were using fund assets to directly or indirectly finance any activities primarily intended to result in the sale of fund shares outside of an approved Rule 12b-1 distribution plan. Originality/value Practical guidance from experienced financial services lawyers.

The Study of the Determinants Affecting the Performance of Mutual Funds in Indiaequity Mutual Fund

2019 ◽  
Vol 54 (5) ◽  
pp. 58
Author(s):  
Preeta Sinha ◽  
Tamal Taru Roy ◽  
Debi Prasad Lahiri
Keyword(s):  
Mutual Funds ◽  
Mutual Fund

An Emprical Study of Performance Evaluation of Selected Elss Mutual Fund Schemes

2012 ◽  
Vol 3 (7) ◽  
pp. 67-69
Author(s):  
J. Lilly J. Lilly ◽  
◽  
Dr. D.Anusuya Dr. D.Anusuya
Keyword(s):  
Performance Evaluation ◽  
Mutual Fund
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