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Diane Publishing Books
Mutual Fund Trading Abuses: SEC Consistently Applied Procedures in Setting Penalties, But Could Strengthen Certain Internal Controls
Richard J. Hillman (au)
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 freq’y. 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 day’s fund share price. These investors have an opportunity to profit. This report: discusses SEC’s civil penalties in settled trading abuse cases, provides info. on related criminal enforce. actions, & evaluates SEC’s criminal referral procedures.
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