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Mutual Fund Trading Abuses: SEC Consistently Applied Procedures in Setting Penalties, But Could Strengthen Certain Internal Controls
There are 2 types of trading abuses in the mutual

Our Price: $20.00
By Richard J. Hillman (au)
Year: 2005
Pages: 40
Binding Paperback

Product Code: 142230177X

There are 2 types of trading abuses in the mutual fund industry -- market timing & late trading. Market timing involves situations where invest. advisers entered into undisclosed arrange. with  customers who were permitted to trade freqíy. in contravention of stated trading limits. These arrangements increased transaction costs & lowered returns. Late trading occurs when investors place trades after the mutual fund has calculated the price of its shares, usually at the 4:00 p.m. EST close, but receive that dayís fund share price. These investors have an opportunity to profit. This report: discusses SECís civil penalties in settled trading abuse cases, provides info. on related criminal enforce. actions, & evaluates SECís criminal referral procedures.

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