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Transactions of Investment Companies With Portfolio and Subadviser Affiliates

SEC · final-rule · Published 2003-01-22 · Effective 2003-02-24 · 68 FR 3142

Document

Document number
03-1229
Federal Register citation
68 FR 3142
CFR reference
17 CFR 270
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2003-01-22
Effective date
2003-02-24
Docket
Release No. IC-25888

Abstract

The Securities and Exchange Commission ("Commission") is adopting amendments to rules under the Investment Company Act of 1940 to expand the current exemptions for investment companies ("funds") to engage in transactions with "portfolio affiliates"--companies that are affiliated with the fund solely as a result of the fund (or an affiliated fund) controlling them or owning more than five percent of their voting securities. The Commission is also adopting one new rule and several rule amendments to permit funds to engage in transactions with subadvisers of affiliated funds. The rules are designed to permit transactions between funds and certain affiliated persons under circumstances where it is unlikely that the affiliate would be in a position to take advantage of the fund.

Source

Authoritative
Federal Register document
Machine
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