scholarly journals Private Rights of Action against Mutual Fund Investment Advisers: Amended Section 36 of the 1940 Act

1971 ◽  
Vol 120 (1) ◽  
pp. 143 ◽  
Keyword(s):  
Mutual Fund ◽  
Private Rights ◽  
Investment Advisers ◽  
Fund Investment

Market Timing and Mutual Fund Investment Performance

1984 ◽  
Vol 57 (1) ◽  
pp. 57 ◽  
Author(s):  
Eric C. Chang ◽  
Wilbur G. Lewellen
Keyword(s):  
Mutual Fund ◽  
Market Timing ◽  
Investment Performance ◽  
Fund Investment

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 On Mutual Fund Investment Styles

10.3386/w7215 ◽  
1999 ◽  
Author(s):  
Louis K.C. Chan ◽  
Hsiu-Lang Chen ◽  
Josef Lakonishok
Keyword(s):  
Mutual Fund ◽  
Investment Styles ◽  
Fund Investment

scholarly journals Improved Mutual Fund Investment Choice Architecture

2018 ◽  
Vol 20 (1) ◽  
pp. 96-106 ◽  
Author(s):  
Philip W. S. Newall ◽  
Katie N. Parker
Keyword(s):  
Mutual Fund ◽  
Choice Architecture ◽  
Investment Choice ◽  
Fund Investment

scholarly journals Does mutual fund investment influence accounting fraud?

2019 ◽  
Vol 38 ◽  
pp. 142-158 ◽  
Author(s):  
Yang Wang ◽  
John K. Ashton ◽  
Aziz Jaafar
Keyword(s):  
Mutual Fund ◽  
Accounting Fraud ◽  
Fund Investment

The development of an intelligent agent prototype for mutual fund investment

2008 ◽  
Vol 2 (3) ◽  
pp. 300
Author(s):  
Suresh Subramoniam ◽  
Mohamed Tounsi ◽  
K.V. Krishnankutty
Keyword(s):  
Mutual Fund ◽  
Intelligent Agent ◽  
Fund Investment
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