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GSV CAPITAL CORP FORM 40 17G Fidelity Bond Filed Pursuant to Rule 17g 1g1 of the Investment Company Act of 1940 Filed 050312
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People also ask
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What is the Rule 17g 1 of the Investment Company Act of 1940?
Rule 17g–1's independent directors' annual review requirements, fidelity bond content requirements, joint bond agreement requirement, and the required notices to directors are designed to ensure the safety of fund assets against losses due to the conduct of persons who may obtain access to those assets. -
What is the purpose of fidelity bond?
A fidelity bond is a form of business insurance that offers an employer protection against losses that are caused by its employees' fraudulent or dishonest actions. Also known as an honesty bond, this form of insurance can protect against monetary or physical losses. -
What is the rule 17g 1 of the 1940 Act?
The requirements of rule 17g-1 are designed to protect fund shareholders from losses due to larceny and embezzlement. As discussed above, the rule contains two sets of filing and reporting requirements that constitute collections of information. The first set of requirements pertains to filings made to the Commission. -
Who is exempt from Investment Company Act of 1940?
Section 3(c)(1) of the act excepts from the definition of investment company “any issuer whose outstanding securities (other than short-term paper) are beneficially owned by not more than 100 person and which is not making and does not presently propose to make a public offering of it securities.” -
What is the Federal Investment Company Act of 1940?
The Investment Company Act of 1940 is an act of Congress that regulates the formation of investment companies and their activities. The legislation in the Investment Company Act of 1940 is enforced and regulated by the Securities and Exchange Commission (SEC). -
What is the rule 3a 1 for investment securities?
Rule 3a-1 provides a safe harbor from investment company status for issuers that fail the 40% test but are not primarily engaged in an investment business. The Rule takes into consideration the nature of an issuer's assets and the sources of its income. -
What is the SEC required 17g 1 fidelity bond?
Rule 17g-1 (the “Rule”) of the Investment Company Act of 1940, as amended, requires that each registered management investment company provide and maintain a bond that shall be issued by a reputable fidelity insurance company authorized to do business in the place where the bond is issued, against larceny and ... -
How much bond coverage is required for fidelity?
How much fidelity bond coverage is required? At the beginning of each plan year, the coverage amount of the bond must be at least 10 percent of the amount of funds handled. The minimum bond amount is $1,000 and, in most cases, is not required to be more than $500,000. -
What are the minimum requirements for ERISA bond?
Generally, each person must be bonded in an amount equal to at least 10% of the amount of funds he or she handled in the preceding year. -
What is the Investment Company Act of 1940 for dummies?
Investment Company Act of 1940 This Act regulates the organization of companies, including mutual funds, that engage primarily in investing, reinvesting, and trading in securities, and whose own securities are offered to the investing public.
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