Assertion: fund's investment adviser | /r/CapableOf | fail to disclose self-dealing transactions
Facets:
value: in shares of funds
type: LOCATION
value: potentially
type: MANNER
Source sentences:
text: (finding that an investment adviser failed to disclose potentially self-dealing transactions in shares of funds managed by several of its employees, failed to have procedures reasonably designed to prevent misuse of material nonpublic information, and failed to reasonably supervise the employees who committed violations); In the Matter of James Patrick Connelly Jr., Investment Company Act Release No. 26209