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Searching Content indexed under Securitization & Structured Finance by Stephanie Monaco ordered by Published Date Descending.
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US Securities And Exchange Commission Clarifies And Expands Its Interpretation Of "Knowledgeable Employee" Under The US Investment Company Act
On February 6, 2014, the Staff of the Division of Investment Management of the Securities and Exchange Commission ("SEC") issued the Managed Funds Association (the "MFA) a no-action letter (the "MFA Letter") clarifying and expanding the SEC’s interpretation of the defined term "Knowledgeable Employee" in Rule 3c-5 under the Investment Company Act of 1940 (as amended, the "Investment Company Act").
United States
21 Feb 2014
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Second Circuit Court of Appeals Decision Highlights Potential Liability of Advisers to Related Investors in Securitizations
The plaintiffs alleged that Aladdin’s gross mismanagement of the investment portfolio caused plaintiffs to lose their entire investment in the CDO.
United States
16 Aug 2012
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