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: Securities Law Prof Blog

Investment Adviser Censured for Failure to Provide Fund Directors with Information in Contract Renewal Process

By Securites Lawprof

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On May 27, the SEC settled charges against investment adviser New York Life Investment Management LLC (NYLIM) for failing to provide the Board of the Mainstay Equity Index Fund (Equity Index Fund), a mutual fund NYLIM advises, with information during...

Full post as published by Securities Law Prof Blog on May 27, 2009 (boomark / email).

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