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On December 3, 2003, the SEC proposed new rules to stop after-hours trading in mutual funds. [9] [10] On December 18, 2003, the SEC “announced an enforcement action against Alliance Capital Management L.P. (Alliance Capital) for defrauding mutual fund investors. The SEC ordered Alliance Capital to pay $250 million.
Putnam Investments is an investment management firm founded in 1937 by George Putnam, who established one of the first balanced mutual funds, The George Putnam Fund of Boston. Headquartered in Boston, Massachusetts , it has offices in London , Tokyo , Frankfurt , Sydney , and Singapore . [2]
Great-West Lifeco Inc. is a Canadian insurance-centered financial holding company that operates in North America (Canada and United States), Europe and Asia through five wholly owned, regionally focused subsidiaries. Many of the companies it has indirect control over are part of its largest subsidiary, The Canada Life Assurance Company; the ...
BOSTON (Reuters) -A former correctional counselor at a federal prison in Massachusetts was sentenced on Wednesday to two years in prison for corruptly accepting tens of thousands of dollars from a ...
Alamy By Sarah Morgan The theft of customer data at Morgan Stanley (MS) earlier this month is just one more in a long list of reasons for investors to make sure they know and trust the people ...
Manhattan prosecutors won't be penalized for a last-minute document dump that caused former President Donald Trump’s hush money criminal trial to start later than scheduled, a judge ruled Thursday.
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