RegAlert2002-07-10
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SEC Division of Investment Management staff letter: Thomson Financial Inc.
The SEC staff will not recommend enforcement action to the Commission under Section 203(a) of the Investment Advisers Act of 1940 against private fund managers solely because they provide biographical and contact information to Thomson Financial Inc. for inclusion in the password-protected ShareWatch and BondWatch services. This assurance applies provided Thomson continues to make the services available exclusively to institutional sales and trading desks of registered broker-dealers and a small number of fund managers, and maintains procedures that effectively prevent persons seeking advisory services from accessing the databases.
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Thomson Financial Inc.
July 10, 2002
RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT MANAGEMENT _________
IM Ref. No. 2002791136 Thomson Financial Inc. File No. 132-3 _______
By letter dated July 9, 2002, you request our assurance that we would not recommend enforcement action to the Commission under Section 203(a) of the Investment Advisers Act of 1940 ("Advisers Act") against certain unregistered investment advisers if they provide biographical and contact information about themselves to Thomson Financial Inc. ("Thomson") for inclusion in password-protected Internet websites that Thomson maintains. FACTS
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Source: Securities and Exchange Commission — original document · Summary generated with machine assistance and reviewed before publication; the authoritative text is the regulator's original document. How RegAlert works
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