Mutual Fund Investment Limitations Arising Outside of the Investment Company Act
Kenneth R. Earley
David M. Geffen
June 18, 2009
The Investment Lawyer, Vol. 16, No. 6, June 2009
In addition to limitations that apply to every registered investment company (Fund) under the Investment Company Act of 1940 (ICA), there are investment limitations under other federal laws and under state law, each of which is a potential trap for a Fund. This article provides guidance to Funds and their advisers to avoid the most common of these non-ICA limitations.
Number of Pages in PDF File: 5
Keywords: mutual funds, investment company, investment limitations, ownership restrictions, aggregation, insurance holding company, bank holding company, poison pills, gaming industry, changes in controlAccepted Paper Series
Date posted: August 3, 2009 ; Last revised: December 29, 2009
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