Rule 17a-10 Exemption for transactions with certain subadvisory affiliates

OMB 3235-0563

OMB 3235-0563

Rule 17a-10 permits a registered investment company's ("fund") subadviser to enter into transactions with certain affiliated funds. This exemption would be conditioned on the fund's advisory contract being amended to include certain clauses that prohibit, among other things, consultation between subadvisers that advise the transacting fund and other fund subadvisers.

The latest form for Rule 17a-10 Exemption for transactions with certain subadvisory affiliates expires 2022-12-31 and can be found here.

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