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21 Resources for

investment company

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Did you mean Investment Company Institute (23 results), registered investment company (2 results)

BNET Business Dictionary

Investment Company: a company that pools for investment the money of several investors.; Investment Company definition on BNET »

BNET Resources

Sage Software Case Study: CNL investment company: Manual contact and sales tracking system offered only rudimentary customer relationship capabilities and made sales management cumbersome for CNL Investment Company (CNL). Sage CRM SalesLogix was deployed to 30 mobile wholesalers on Compaq TC1000 Tablet PCs and to 80 home-office employees to manage the entire sales cycle. Sage CRM SalesLogix...; Tags: Sales strategy, Sales force management, Financial services, Best Software, Sage CRM SalesLogix, investment company, sales, sales cycle, tablet PC, mobile, PC; Case studies
A Large US Based Retail Brokerage and Investment Firm: Providing an Integrated Solution to Manage and Track Customer Requests: The client is one of the largest US based retail brokerage and investment firm. The key requirements were the need for supporting an evolving business process, customized resource scheduling mechanism for resource forecasting and limited mechanism to capture various metrics like Traffic Light reporting, readiness of the Service request to...; Tags: Operational planning, Wipro Technologies, brokerage, business process, BPM, modeling, customer service, team, Web; Case studies
Investment Advisers and Investment Companies: Focus on Compliance: Each investment adviser is expected to identify compliance requirements and potential conflicts that create risk to the firm and its clients and to design policies and procedures that address these risks. The fund board of each investment company is required to adopt policies and procedures to provide for the oversight...; Tags: Corporate governance, Investment, Protiviti, policies and procedures, advisor, compliance, board, agent; White papers 2005-05-10
Business Administration/Finance: The world of financing offers a multitude of career choices. Among the most common are financial analysts, financial planners and personal financial advisers. Financial analysts and planners work primarily in the corporate realm offering services to corporations, industry and governments, while personal financial advisers assist individuals in reaching their long-...; Tags: Financial accounting, Financial services, Investment, financial analyst, investment company, pension fund, financial, financing, career, analyst, insurance, bank, performance, industry, security; White papers 2004-11-17
Providing Strategic Insurance Industry Consulting Services to Institutional Investment Firms: The institutional investment firms, commonly referred to as capital management firms, have significantly grown in number over the last several years. The analysts at these investment management firms need answers to significant technical comments being made by executives of insurers and reinsurers, especially when the institutional investor has a significant...; Tags: casualty insurance, insurance company, capital management, consulting service, analyst, equity, insurance, consulting, industry; White papers 2004-07-01

SEC Adopts Rule Requiring Disclosure About Nominating Committees and Communications Between Shareholders and Directors: Article narrates the rule adopted by SEC for nominating committees and communications between shareholders and directors of the organization. It talks about the changes adopted by SEC to the Proxy Rules to “enhance the transparency of the operation of boards of directors. The new rule requires a statement as to...; Tags: Financial services, nominee, investment company, director, SEC, shareholder, board; White papers 2003-12-01
Investment Management Update: SEC Takes Action on Fund Advertising, ‘Fund of Funds’ Rules: The Securities and Exchange Commission revised the rules restricting advertising by investment companies, and proposed relaxing the rules that govern investment companies’ ability to invest in other investment companies. Article explains Mutual Fund Advertising Rules that states that the revisions eliminate the requirement that advertisements subject to Rule 482 of...; Tags: Financial services, Pepper Hamilton LLP, investment company, SEC, advertisement, mutual fund; White papers 2003-10-01
SEC Approves New Rule on Internal Control Reporting: The Securities and Exchange Commission has voted to adopt rules concerning management's report on internal control over financial reporting and certification of disclosures in Exchange Act periodic reports. The Commission also voted to adopt new Rule 3a-8 under the Investment Company Act to provide a nonexclusive safe harbor from the...; Tags: Financial Planning, financial reporting, SEC, financial, commission, R&D; White papers 2003-05-30
Anti-Money Laundering Compliance Procedures for Private Investment Companies Under the USA Patriot Act: The USA PATRIOT Act requires all financial institutions (including investment companies) which are exempted from the registration requirements of the Investment Company Act of 1940, to implement policies and procedures designed to guard against money laundering.; Tags: Regulations, Financial services, Reed Elsevier Inc., USA PATRIOT Act, financial; White papers 2003-05-15
Anti-Money Laundering Update #02-2 Compliance Programs for Unregistered Investment Companies: On September 18, 2002, the U.S. Department of Treasury released its Notice of Proposed Rulemaking to issue regulations prescribing the minimum standards for the implementation of an anti-money laundering program for unregistered investment companies (e.g., hedge funds, commodity pools, private equity funds, venture capital funds and real estate investment trusts)....; Tags: Financial services, Regulations, Investment, Reed Elsevier Inc., investment company, REIT, regulation, venture-capital fund, USA PATRIOT Act, hedge fund, private equity, venture capital, compliance; White papers 2003-05-08
Capital Markets Regulatory Highlights: February 2003: This article provides insight on current regulatory issues including: SEC Final Regulation Analyst Certification; SEC Proposed Rules Regarding Compliance Infrastructure at Investment Advisers and Registered Investment Companies; Federal Reserve Interpretation Regarding Foreign Bank Underwriting of Securities Distributed in the U.S.; SEC Final Rule Addressing Bank Exemption from Dealer Registration; SEC...; Tags: PricewaterhouseCoopers Consulting, SEC, advisor, compliance; White papers 2003-02-28
Capital Markets Regulatory Highlights Vol. 5: This article includes: SEC issuing rules implementing the Sarbanes-Oxley Act; Proposed rule on SAR reporting for mutual funds; Report to Congress on applying the USA Patriot Act to investment companies; NASD notice to members regarding sale of hedge funds to retail investors; and SEC final rule on transactions of investment...; Tags: Financial services, Investment, Regulations, PricewaterhouseCoopers Consulting, investment company, SEC, USA PATRIOT Act, mutual fund, hedge fund, Sarbanes-Oxley Act; White papers 2003-01-31
SEC Implements Internal Control Provisions Of Sarbanes-Oxley Act; Adopts investment company R&D Safe Harbor: The Securities and Exchange Commission’s has voted to adopt rules concerning management's report on internal control over financial reporting and certification of disclosures in Exchange Act periodic reports. The Commission also consider to adopt new Rule 3a-8 under the Investment Company Act to provide a nonexclusive safe harbor from the...; Tags: Research & Development, Quality, Financial Planning, Financial services, harbor, investment company, financial reporting, SEC, certification, commission, R&D, financial, Sarbanes-Oxley Act; White papers 2003-01-22
Final Rule: Certification of Management investment company Shareholder Reports and Designation of Certified Shareholder Reports and Other Aspects: The Securities and Exchange Commission is adopting rule and form amendments that require registered management investment companies to file certified shareholder reports on Form N-CSR with the Commission, and designating these certified reports as reports that are required under Sections 13(a) and 15(d) of the Securities Exchange Act of 1934...; Tags: Financial services, Regulations, SEC, investment company, Securities Exchange Act, financial officer, shareholder, Sarbanes-Oxley Act, commission; White papers 2003-01-01
Small Isn’t What It Used To Be: The Changing Face Of Smaller Investment Firms: This article discusses the changing face of smaller investment firms. An astute plan sponsor will recognize that young firms are more likely to be risk-takers. It also may be true that these firms will be more likely to identify innovative strategies that will add value. Everything else being equal, the...; Tags: Institute for Fiduciary Education, advisor, strategy; White papers 2003-01-01
How The New Rules Affect Investment Companies And Investment Advisers: The Sarbanes-Oxley Act of 2002 significantly has changed the regulatory environment for public companies. At open meetings held on January 22 and 23, 2003, the SEC approved new rules and rule amendments implementing some important provisions of the Sarbanes-Oxley Act. Kramer Levin attorneys summarize recent developments as they relate to...; Tags: Sarbanes-Oxley, Regulatory compliance, Financial services, Investment, investment company, Sarbanes-Oxley Act, SEC, attorney, advisor, shareholder, environment; White papers 2003-01-01
United States, Changes to the Mutual Funds Regime: Over the past year, the booming US economy has led to an enormous influx of US investor dollars into mutual funds. This explosion in the popularity of mutual funds has been accompanied by significant changes in the way mutual funds do business. Sophisticated investors have demanded novel investment vehicles to...; Tags: Mutual funds, Retirement plans, Investment, Financial services, ETF, Investment Company Institute, mutual fund, investment company, corporate governance, SEC, best practice, investor, litigation, asset, industry; White papers 2003-01-01
Compliance Programs for Unregistered Investment Companies: The Patriot Act enhances the powers of the federal government and law enforcement organizations to combat money laundering and terrorism. The new law is very broad and covers not only traditional financial institutions, but also non-bank financial institutions. On September 18, 2002, the U.S. Department of Treasury released its Notice...; Tags: Financial services, Financial accounting, Regulations, U.S. Department of Treasury, financial company, compliance, USA PATRIOT Act, financial, terrorism, audit, training; White papers 2003-01-01
Certification of Registered investment company Annual and Semi-Annual Reports: The implementation of Section 302 of the Act is to registered investment companies by adopting new Investment Company Act Rule 30a-2. This rule requires a registered investment company that files periodic reports under Section 13(a) or 15(d) of the Exchange Act (that is, Form N-SAR) to include the certification specified...; Tags: Quality, Financial services, registered investment company, investment company, certification, Sarbanes-Oxley Act; White papers 2002-11-13
What The Sarbanes-Oxley Act Means For Registered Investment Companies: From the executive summary: ‘Many provisions of the Sarbanes-Oxley Act affect the operations of registered investment companies. The Act also imposes additional responsibilities upon investment company officers and directors. However, the provisions of the Act will be determined by interpretation of the courts and regulators. Key provisions of the Act...; Tags: Financial services, Regulations, Pepper Hamilton LLP, registered investment company, investment company, Sarbanes-Oxley Act, director; White papers 2002-11-01