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Our experts frequently write blog posts about the findings of the research we are conducting.

Displaying 141-145 out of 145 results for "Mutual Fund".

Structured Product Issuers Under Pressure to Disclose Estimated Value

(Jan 2013)

According to securities law firm Morrison & Foerster's Structured Thoughts newsletter, the SEC may soon require issuers of structured products to disclose the estimated value of the product on the front page of the prospectus. From the newsletter:

Elaborating on the [SEC's] sweep letter, the Staff noted that issuers must disclose the "issuer estimated value" on the cover page of the offering document, and share this information with investors prior to the time of sale. This estimated value...

SEC Litigation Releases: Week in Review - January 18th, 2013

(Jan 2013)

SEC Charges Georgia Resident with Insider Trading
January 17, 2013, (Litigation Release No. 22596)
According to the complaint (opens to PDF), John M. Darden III traded with non-public information regarding the merger between Southwest Airlines Company and AirTran Holdings, Inc. Darden, who gained over $150,000 in profits from the illicit trading, agreed to a final judgment that provides permanent injunctive relief and orders him to pay over $325,000 in disgorgement, pre-judgment interest, and...

Barrier Options

(Jan 2013)

Earlier this week we introduced binary options, a type of exotic derivative that is embedded in some retail structured products such as dual directionals. Today we're going to go over barrier options, which are another exotic option contract that happens to be embedded in one of the most popular types of structured products: reverse convertibles.

Like vanilla options, barrier options have a payoff that compares the final asset price to the strike price of the option. In addition, the payoff...

SEC Litigation Releases: Week in Review - January 11th, 2013

(Jan 2013)

Court Orders New York-Based Hedge Fund Manager and Firm to Pay Nearly $5 Million in Disgorgement and Penalties
January 9, 2013, (Litigation Release No. 22588)
Final judgments were entered against hedge fund manager Chetan Kapur and his firm ThinkStrategy Capital Management for allegedly overstating the performance of their ThinkStrategy Capital Fund, "inflat[ing] the firm's assets, exaggerat[ing] the firm's longevity and performance history, and misrepresent[ing] the size and credentials of...

ETP Turnover in 2012

(Jan 2013)

2012 was a busy year for the exchange-traded product (ETP) market. As we've noted before, many new funds have been created, and many others have been closed and liquidated. The analysts at IndexUniverse have been keeping track, and have produced the final year-end tally for 2012.

In all, 178 ETFs or ETNs were launched in 2012. iShares (BlackRock) was the largest issuer in terms of number of new funds, but the market was highly divided such that 44% of funds were launched by the smallest 26...

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