 In addition, officers and employees of bank subsidiaries should be instructed not to express any opinion with respect to advisability of purchase of securities of any investment company for which the bank holding company acts as investment adviser. Customers...  Securities Regulatory Equality: Hearing Before the Subcommittee on ... - Page 182by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance - 1994 - 285 pagesFull view - About this book
 | 1994 - 858 pages
...view of the potential conflicts of Interests that may exist, a bank holding company and its bank and nonbank subsidiaries should not (1) purchase for their...company acts as investment adviser; (2) purchase in §225.125 their sole discretion, any such securities in a fiduciary capacity (including as managring-... | |
 | 2001 - 880 pages
...not pur- • chase in their sole discretion, in a fiduciary capacity (including as managing agent), securities of any investment company for which the bank holding company acts as investment adviser unless, the purchase is specifically authorized by the terms of the instrument creating the fiduciary... | |
 | 1981 - 1486 pages
...of banks in a bank holding company system who request information on an unsolicited basis regarding any investment company for which the bank holding company acts as investment adviser may be furnished the name and address of the fund and its underwriter or distributing company, but... | |
 | 1984 - 1238 pages
...of banks in a bank holding company system who request information on an unsolicited basis regarding any investment company for which the bank holding company acts as investment adviser may be furnished the name and address of the fund and its underwriter or distributing company, but... | |
 | United States. Congress. House. Committee on Banking and Currency - 1973 - 656 pages
...interests that may exist, a bank holding company and its bank and non-bank subsidiaries should not (i) purchase for their own account securities of any investment...the bank holding company acts as investment adviser; (ii) purchase in their sole discretion, any such securities in a fiduciary capacity (including as managing... | |
 | 1986 - 1056 pages
...subsidiaries should be instructed not to express any opinion with respect to advisability of purchase of securities of any investment company for which the bank holding company acts as investment adviser. Customers of banks in a bank holding company system who request information on an unsolicited basis... | |
 | 1973 - 750 pages
...subsidiaries should be instructed not to express any opinon with respect to advisability of purchase of securities of any investment company for which the bank holding company acts as investment adviser. Customers of banks in a bank holding company system who request information on an unsolicited basis... | |
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