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Document Mentions (5 shared documents)
2 mentions1 same-page
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n 2011, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively "Raymond James") settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Columbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (o
to the investments. Valuation uncertainties may be compounded if there are problems with the economies of the markets in which the Fund operates. Absence of Investment Company Act protection The Fund is not required to, and will not, register as an investment company under the U.S. Investment Company Act of 1940, as amended
2 mentions1 same-page
Page ?Same page
n 2011, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively "Raymond James") settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Columbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (o
to the investments. Valuation uncertainties may be compounded if there are problems with the economies of the markets in which the Fund operates. Absence of Investment Company Act protection The Fund is not required to, and will not, register as an investment company under the U.S. Investment Company Act of 1940, as amended
2 mentions1 same-page
Page ?Same page
n 2011, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively "Raymond James") settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Columbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (o
to the investments. Valuation uncertainties may be compounded if there are problems with the economies of the markets in which the Fund operates. Absence of Investment Company Act protection The Fund is not required to, and will not, register as an investment company under the U.S. Investment Company Act of 1940, as amended
Sponsored
2 mentions1 same-page
Page ?Same page
n 2011, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively "Raymond James") settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Columbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (o
to the investments. Valuation uncertainties may be compounded if there are problems with the economies of the markets in which the Fund operates. Absence of Investment Company Act protection The Fund is not required to, and will not, register as an investment company under the U.S. Investment Company Act of 1940, as amended
2 mentions1 same-page
Page ?Same page
n 2011, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively "Raymond James") settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Columbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (o
to the investments. Valuation uncertainties may be compounded if there are problems with the economies of the markets in which the Fund operates. Absence of Investment Company Act protection The Fund is not required to, and will not, register as an investment company under the U.S. Investment Company Act of 1940, as amended
Sponsored
Mutual Connections (60)
Entities connected to both Puerto Rico and Absence of Investment Company Act
the Securities and Exchange Commission
ORGANIZATION134 w/ Puerto·5 w/ Absence
Prince Charles
PERSON119 w/ Puerto·5 w/ Absence
New York State
LOCATION57 w/ Puerto·5 w/ Absence
the U.S. Investment Company Act
ORGANIZATION31 w/ Puerto·19 w/ Absence
RJ
Raymond James'
PERSON41 w/ Puerto·5 w/ Absence
United Kingdom
LOCATION39 w/ Puerto·5 w/ Absence
Denmark
LOCATION32 w/ Puerto·5 w/ Absence
Columbia University
LOCATION27 w/ Puerto·5 w/ Absence
Credit Suisse
ORGANIZATION26 w/ Puerto·5 w/ Absence
European Union
ORGANIZATION26 w/ Puerto·5 w/ Absence
CREDIT SUISSE SECURITIES (USA) LLC
ORGANIZATION23 w/ Puerto·5 w/ Absence
Finland
LOCATION20 w/ Puerto·5 w/ Absence
the European Council
ORGANIZATION5 w/ Puerto·19 w/ Absence
Ontario
LOCATION17 w/ Puerto·5 w/ Absence
Wales
LOCATION16 w/ Puerto·5 w/ Absence
Glendower
LOCATION10 w/ Puerto·5 w/ Absence
Raymond James & Associates, Inc.
ORGANIZATION10 w/ Puerto·5 w/ Absence
Glendower Capital
ORGANIZATION10 w/ Puerto·5 w/ Absence
Davies
ORGANIZATION9 w/ Puerto·5 w/ Absence
Macau
LOCATION8 w/ Puerto·5 w/ Absence