The controls apply to so-called “access” people–those who have working knowledge of the mutual fund’s trading activities.
Investors and mutual fund managers have increasingly traded in ETFs in recent years, but a Securities and Exchange Commission proposal released in March has put them in the spotlight. The proposal is expected to increase the number of ETFs coming to the market by carving out exemptions from the Investment Company Act and allowing some to be set up and operated without obtaining individual exemptive relief.
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