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This document is a no action letter request to the SEC regarding compliance with the Investment Company Act for the offer and sale of units in the Fiduciary Trust Global Fund, particularly concerning
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How to fill out Response of the Office of Chief Counsel Division of Investment Management
01
Read the guidelines provided by the Office of Chief Counsel Division of Investment Management to understand the purpose of the response.
02
Gather all necessary documents and information relevant to your inquiry.
03
Clearly state the specific issue or question that prompted the request for a response.
04
Provide detailed information, including relevant facts, timelines, and any legal precedents that may apply.
05
Format the document according to the requirements outlined by the Office, ensuring clarity and professionalism.
06
Review the completed response for accuracy, completeness, and adherence to required guidelines.
07
Submit the response through the designated channel, ensuring all required forms are included.
Who needs Response of the Office of Chief Counsel Division of Investment Management?
01
Investment companies seeking legal guidance on compliance with regulations.
02
Advisors needing clarity on interpretative issues related to investment management.
03
Organizations involved in mergers and acquisitions that require legal advice.
04
Legal professionals requiring insights into investment management laws.
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People Also Ask about
What does the division of Investment Management do?
Oversees investment advisers and investment companies, including mutual funds and other investment products, that investors may use to help them buy a home, send kids to college, or prepare for retirement.
Who is the chief counsel of the SEC Investment Management?
Kaitlin C. Bottock is Co-Chief Counsel of the Securities and Exchange Commission's Division of Investment Management. In this role, she oversees the Division's legal guidance regarding investment companies and investment advisers. She has served in this role since October 2022.
What is the SEC Division of Investment Management phone number?
Division of Investment Management (IM) For investment company filings (except Forms 13F, N-CEN and 24F-2), call the IM EDGAR inquiry line at (202) 551-6989.
How do I contact the SEC division of Investment Management?
Division of Investment Management (IM) For investment company filings (except Forms 13F, N-CEN and 24F-2), call the IM EDGAR inquiry line at (202) 551-6989.
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What is Response of the Office of Chief Counsel Division of Investment Management?
The Response of the Office of Chief Counsel Division of Investment Management is a formal communication or guidance issued by the Office of Chief Counsel to clarify matters related to investment management practices and regulatory compliance.
Who is required to file Response of the Office of Chief Counsel Division of Investment Management?
Registered investment companies, investment advisers, and other entities regulated under the Investment Company Act and the Investment Advisers Act may be required to file a response when seeking clarification or guidance on compliance issues.
How to fill out Response of the Office of Chief Counsel Division of Investment Management?
To fill out the response, applicants must provide detailed information about their inquiry or the specific regulatory issues they are facing, including relevant facts, legal citations, and any previous correspondence related to the matter.
What is the purpose of Response of the Office of Chief Counsel Division of Investment Management?
The purpose is to provide clarity, interpret regulations, and offer guidance on compliance matters to ensure that investment entities operate within the legal framework established by the SEC.
What information must be reported on Response of the Office of Chief Counsel Division of Investment Management?
Information that must be reported includes the nature of the inquiry, relevant regulations, specific questions being asked, and any supporting documents that may assist in providing a comprehensive response.
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