FindLaw > Library  > Securities Law > Investment Companies

Library Search

   FAQ   Summaries of Law   Dictionary
  • U.S.-Canada Outsourcing: A Canadian Perspective ( June 2005 )

    Canada has become a significant player in the global outsourcing market. Geographic proximity to the United States, political stability and similarities in laws, language and business culture have contributed to Canada's emergence as a primary nearshore outsourcing destination for U.S. businesses. In addition, Canadian businesses, often subsidiaries of U.S. companies, have been outsourcing their IT systems and business processes to U.S. business partners.
  • Canadian Investment Funds & Asset Management ( June 2005 )

    "The mutual fund industry has been through a year unlike any other since prior to the adoption of the Investment Company Act of 1940…We have witnessed a period of great turmoil, outrage and shame in the fund industry. We are currently engaging in a process of cleansing, reassessment and restoration of confidence."
  • Seeking Seed Capital from Colorado Angel Investors ( January 2000 )

    Often entrepreneurs require outside financial assistance in starting their company. When the bank does not come through and friends and family are unable to make the investment, the thought often turns to sophisticated, wealthy investors or "angels" to provide some of the initial funding or "seed capital."
  • Securities and Exchange Commission Proposal to Require Hedge Fund Advisers to Register ( August 2004 )

    On July 14, 2004, the Securities and Exchange Commission ("Commission") voted 3-2 to propose new rule 203(b)(3)-2 under the Investment Advisers Act of 1940, as amended ("Advisers Act") to require hedge fund advisers to register with the Commission. The Commission also voted to propose certain conforming and transitional amendments to rules 203(b)(3)-1, 204-2, 205-3, 206(4), and Form ADV. The proposal will be open to public comment for 60 days and must be voted on again by the Commission before it can be adopted.
  • SEC Adopts Final Rule Requiring Investment Advisers to Adopt Codes of Ethic ( August 2004 )

    On July 2, 2004, the SEC adopted Rule 204A-1 under the Investment Advisers Act of 1940 and related amendments that require registered investment advisers to adopt a code of ethics.  The new rule is designed to address certain fraudulent trading practices that have been the subject of several recent enforcement actions against investment advisers and to reinforce the fiduciary principles that define the relationship between advisers and their clients

Ads by FindLaw