Sentences with phrase «unregistered funds»

As a result, unregistered funds may have a greater ability to make investments, or use investment techniques, that offer a higher potential investment return (for example, leveraging), but which may carry high risk.

Unregistered funds are largely exempt from the regulatory requirements that apply to registered investment companies.

Investments in unregistered funds may be difficult to sell, which could cause a fund selling an interest in an unregistered fund to lose money.

You are not authorized to give any information or make any representations concerning Franklin Templeton Funds, or shares of any such Funds, except those contained in the Fund's then - current prospectus or legal disclosure document (e.g., for unregistered Funds), or materials issued by us as information supplemental to such prospectus or legal disclosure document.

Not exact matches

Meanwhile, many large funds are in precluded from investing in tokens, aka, unregistered securities, in their partnership agreements.

«Given the significant consequences of acting as an unregistered broker - dealer and the increased attention being given to this issue by the SEC staff, private - fund advisers should consider reviewing their practices to determine whether any activities that may be approaching or crossing the line would require broker - dealer registration,» David Blass, the chief counsel of the SEC's division of trading and markets, suggested in a speech last April.

BLACKROCK, BLACKROCK SOLUTIONS, BUILD ON BLACKROCK, ALADDIN, iSHARES, iBONDS, iSHARES CONNECT, FUND FRENZY, LIFEPATH, SO WHAT DO I DO WITH MY MONEY, INVESTING FOR A NEW WORLD, BUILT FOR THESE TIMES, the iShares Core Graphic, CoRI and the CoRI logo are registered and unregistered trademarks of BlackRock, Inc., or its subsidiaries in the United States and elsewhere.

In 2016, BlackRock, the sponsor of the gold ETF iShares Gold Trust (IAU) sold $ 296 million in unregistered shares of an exchange - traded fund.

The agency filed civil charges against Dominic Lacroix, his partner Sabrina Paradis - Royer and PlexCorps, for «misappropriating investor funds illegally raised through the fraudulent and unregistered» offer of PlexCoin.

Many are offshore funds that are unregistered, have no investment limitations, and are not subject to disclosure regulations.

Because of certain regulations on who can invest and the unregistered nature of venture capital investments, the government says that only institutional investors and accredited investors can provide capital to these funds.

Giga Watt, a startup that held an ICO to fund a bitcoin mining facility, is being sued for allegedly conducting an unregistered securities offering.

Mendy Mirocznik, who unsuccessfully ran for the Democratic seat in the 2013 race, was fined $ 2,178 by the finance board for getting $ 520 from the unregistered Life Party PAC and other issues with his funds, the Staten Island Advance reported.

Howe was an unregistered lobbyist whose clients had hundreds of millions of dollars in taxpayer - funded state contracts.

By constructing a plan with the client's accountant, Domingo was able to use the client's TFSA contribution room and unregistered accounts to withdraw some RRSP funds.

So I invest in ETF in all my registered accounts where I don't need to report taxes, and I use TD's eSeries index Mutual Fund on unregistered accounts where I need to report taxes.

Kindly avoid investing in local / unregistered chit funds.

BLACKROCK, BLACKROCK SOLUTIONS, BUILD ON BLACKROCK, ALADDIN, iSHARES, iBONDS, iSHARES CONNECT, FUND FRENZY, LIFEPATH, SO WHAT DO I DO WITH MY MONEY, INVESTING FOR A NEW WORLD, BUILT FOR THESE TIMES, the iShares Core Graphic, CoRI and the CoRI logo are registered and unregistered trademarks of BlackRock, Inc., or its subsidiaries in the United States and elsewhere.

The disclaimer information for the investment should be enough to frighten away the most prudent investor: «The BIT is a private, unregistered investment vehicle and NOT subject to the same regulatory requirements as exchange - traded funds or mutual funds, including the requirement to provide certain periodic and standardized pricing and valuation information to investors.

Our lawyers have in - depth experience in converting unregistered pooled funds maintained by financial institutions into registered investment companies.

Jeremy Peers was charged with thirty - three offences under s. 194 of the Alberta Securities Act, including unregistered trading in securities, non-compliance with prospectus disclosure obligations, misrepresentation, and fraudulent use of investor funds.

Giga Watt, a startup that held an ICO to fund a bitcoin mining facility, is being sued for allegedly conducting an unregistered securities offering.

In its complaint, the US regulator said that it had to take an emergency action to stop Lacroix, a recidivist securities law violator In Canada, and his partner Paradis - Royer from further misappropriation of investor funds illegally raised through the fraudulent and unregistered offer and sale of securities called «PlexCoin» or «PlexCoin Tokens» in a purported «Initial Coin Offering».

The Securities and Exchange Commission of the United States (SEC) has accused two founders of the Centra cryptocurrency project of organizing a fraudulent ICO, appropriating investors» funds and selling unregistered securities.

It is alleged that the BitConnect platform had been issuing digital tokens that were seen to be unregistered securities and they had also received funds in other ways which made it into a «wide - ranging Ponzi scheme.»

The report further suggests that unregistered ICOs shall not be banned, and a licensed ICO token would need to provide a particular set of assurances to investors in relation to the usage of raised funds.

«In sum, Defendants capitalized on the recent enthusiasm for blockchain technology and cryptocurrencies to raise funds through the ICO, illegally sold unqualified and unregistered securities, used a Swiss - based entity in an unsuccessful attempt to evade U.S. securities laws, and are now admittedly engaged in the conversion, selling, and possible dissipation of the proceeds that they collected from the Class through their unregistered offering.»

The class action complaint states that BitConnect issued cryptocurrency tokens that were actually unregistered securities and collected additional funds via a «wide - ranging Ponzi scheme.»