Self-Regulation of Insider-Trading in Mutual Funds and Advisors

Included among the available mutual funds for a SPS Advisor Account are mutual funds which are affiliated with Sponsor and are managed by Columbia Management Investment

Mr. Mannon focuses his practice on legal and compliance  matters for investment advisers mutual funds closed end

The Law provides that, unless a mutual fund is an administered, registered or an exempted fund, it shall not carry on or attempt to carry on business in or from

REGULATION OF INVESTMENT FUND ADMINISTRATORS A company shall not carry on or attempt to carry on business as an investment fund administrator unless it is licensed to

FBS and/or NFS has contracted with certain mutual funds, their investment advisors, or their affiliates and certain ETF investment advisors to receive other compensation in

3 Net Interest Margin equals Net Banking Interest Income of the period divided by monthly Average Interest Earning Assets Excluding Cash for the same period; Interest Earning

Because mutual funds pay advisory fees to their investment advisers and those fees are indirectly charged to all holders of mutual fund shares, our clients with mutual funds in

Fund of Funds: A mutual fund, collective investment fund or other pooled investment that invests primarily in other mutual funds, collective investment funds or