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" Banks can serve as investment advisers to mutual funds without registering under the Investment Advisers Act of 1940. As a result of this loophole, shareholders in mutual funds advised by banks, unlike their counterparts in other mutual funds, do not... "
H.R. 1062, the Financial Services Competitiveness Act of 1995, Glass ... - Página 131
por United States. Congress. House. Committee on Banking and Financial Services - 1995
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Financial Services Industry: Hearings Before the Subcommittee on ...

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance - 1991 - 832 páginas
...exclusion for banks under trie Investment Advteera Act of 1 940. Banks can serve as investment advisers to mutual funds without registering under the Investment...those related to the recordkeeping and inspections by the SEC and those restricting performancebased fees and agency cross-transactions. The Investment...
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Restructuring of the Banking Industry: Hearings Before the ..., Parte 2

United States. Congress. House. Committee on Banking, Finance, and Urban Affairs. Subcommittee on Financial Institutions Supervision, Regulation and Insurance - 1991 - 1060 páginas
...exclusion for banks under the Investment Advisers Act of 1940. Banks can serve as investment advisers to mutual funds without registering under the Investment...those related to the recordkeeping and inspections by the SEC and those restricting performance-based fees and agency cross-transactions. The Investment...
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Financial Services Industry: Hearings Before the Subcommittee on ...

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance - 1991 - 830 páginas
...exclusion for banks under the Investment Adviser* Act of 1940. Banks can serve as investment advisers to mutual funds without registering under the Investment...those related to the recordkeeping and inspections by the SEC and those restricting performancebased fees and agency cross-transactions. The Investment...
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Restructuring of the Banking Industry: Hearings Before the ..., Parte 1

United States. Congress. House. Committee on Banking, Finance, and Urban Affairs. Subcommittee on Financial Institutions Supervision, Regulation and Insurance - 1991 - 1346 páginas
...investment advisers to mutual funds without registering under the Investment Advisers Act of 1 940. As a result of this loophole, shareholders in mutual...those related to the recordkeeping and inspections by the SEC and those restricting performance-based fees and agency cross-transactions. The Investment...
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Financial Services Industry: Hearings Before the Subcommittee on ...

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance - 1991 - 828 páginas
...exclusion for banks under the Investment Advisers Act of 1940. Banks can serve as investment advisers to mutual funds without registering under the Investment...loophole, shareholders in mutual funds advised by barks, unlike their counterparts in other mutual funds, do not receive the protections of that Act's...
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Uninsured Bank Products: Risky Business for Seniors? : Hearing Before the ...

United States. Congress. Senate. Special Committee on Aging - 1994 - 232 páginas
...possible to the investing public so that they may avoid dealing with unscrupulous or dishonest operators. Currently, banks also may serve as investment advisers...those restricting performance-based fees and other potentiel conflicts of interest HR 3447 would remove the exclusion for banks from the definition of...
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Proposed Mellon-Dreyfus Merger: Hearings Before the Subcommittee ..., Volume 4

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations - 1994 - 1000 páginas
...those laws are designed to protect the banks and their depositors, not investors. In addition, banks may serve as investment advisers to certain mutual...the recordkeeping and inspections conducted by the Securities and Exchange Commission (SEC) and those restricting performance-based fees and agency crosstransactions....
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Proposed Mellon-Dreyfus Merger: Hearings Before the Subcommittee ..., Volume 4

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations - 1994 - 1016 páginas
...those laws are designed to protect the banks and their depositors, not investors. In addition, banks may serve as investment advisers to certain mutual...by banks, unlike their counterparts in other mutual 19 funds, do not receive the protections of that Act's provisions, including those related to the recordkeeping...
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Proposed Mellon-Dreyfus Merger: Hearings Before the Subcommittee ..., Volume 4

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations - 1994 - 990 páginas
...loophole, shareholders in mutual funds advised by banks, unlike their counterparts in other mutual 19 funds, do not receive the protections of that Act's...the recordkeeping and inspections conducted by the Securities and Exchange Commission (SEC) and those restricting performance-based fees and agency crosstransactions....
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The Financial Services Competitiveness Act of 1995: Joint Hearings ..., Volume 4

United States. Congress. House. Committee on Commerce. Subcommittee on Telecommunications and Finance - 1995 - 344 páginas
...violate the law. Private actions — whether they are brought in court or in an arbitration forum — have become increasingly important as an enforcement...inspections conducted by the SEC and those restricting performance-fan sea fees and other potential conflicts of interest. Mr. Chairmen and Members of the...
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