Quantcast
The MFWire
Manage Email Alerts | Sponsorships | About MFWire | Who We Are

Subscribe to MFWire.com's News Alerts [click]

Rating:SEC Puts Managers Under Microscope Not Rated 0.0 Email Routing List Email & Route  Print Print
Tuesday, December 30, 2003

SEC Puts Managers Under Microscope

by: Nicole Halsey

The SEC could make investigations into the personal trading records of mutual fund managers protocol, the New York Post reports.

The agency has requested information on the personal trading records of the managers at the mutual fund companies it is currently investigating as part of its market timing and late trading investigation.

Sources told the paper that the SEC will make such a move routine in the future, outdating its current practice of practice of looking at a manager's personal records for stocks and bond deals.

Before, the SEC required that portfolio managers report stock and bond transactions quarterly to the fund's compliance department, which would look at brokerage records to make sure the reports matched. The department would also check to make sure that managers were not front-running the stocks they traded in.

Under the new setup, the SEC will examine how managers trade in their own funds to see if they are timing.  

Stay ahead of the news ... Sign up for our email alerts now
CLICK HERE

0.0
 Do You Recommend This Story?



GO TO: MFWire
Return to Top
 News Archives
2021: Q4Q3Q2Q1
2020: Q4Q3Q2Q1
2019: Q4Q3Q2Q1
2018: Q4Q3Q2Q1
2017: Q4Q3Q2Q1
2016: Q4Q3Q2Q1
2015: Q4Q3Q2Q1
2014: Q4Q3Q2Q1
2013: Q4Q3Q2Q1
2012: Q4Q3Q2Q1
2011: Q4Q3Q2Q1
2010: Q4Q3Q2Q1
2009: Q4Q3Q2Q1
2008: Q4Q3Q2Q1
2007: Q4Q3Q2Q1
2006: Q4Q3Q2Q1
2005: Q4Q3Q2Q1
2004: Q4Q3Q2Q1
2003: Q4Q3Q2Q1
2002: Q4Q3Q2Q1
 Subscribe via RSS:
Raw XML
Add to My Yahoo!
follow us in feedly




©All rights reserved to InvestmentWires, Inc. 1997-2021
14 Wall Street | 20th Floor | New York, NY 10005 | P: 212-331-8968 | F: 212-331-8998
Privacy Policy :: Terms of Use