Related Documents:
IA-2277
18-Aug-2004
Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
On August 18, 2004, the SEC instituted settled administrative and cease-and-desist proceedings against Janus Capital Management LLC. According to the SEC: "This is a proceeding against JCM based on its negotiated, but undisclosed, market timing agreements in which JCM permitted 12 entities (the 'Market Timers' or 'Timers') to market time certain Janus mutual funds while representing to other shareholders that it did not permit frequent trading or market timing in its mutual funds."
34-56815
19-Nov-2007
Administrative Proceeding
Order Extending Time To Enter An Order Approving Or Disapproving Distribution Plan
The Commission stated: "IT IS ORDERED that: Pursuant to Rule 1104 of the Rules on Fair Fund and Disgorgement Plans, 17 C.F.R. § 201.1104, for good cause shown, the time for entering an Order approving or disapproving the proposed distribution plan is extended to December 19, 2007."
34-56995
19-Dec-2007
Administrative Proceeding
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
The SEC stated: "that additional time is necessary to adequately consider and address all of the comments, and therefore good cause has been shown to extend the time period provided in Rule 1104 for entry of an order approving or disapproving the plan from December 19, 2007 to January 25, 2008."
34-57201
25-Jan-2008
Administrative Proceeding
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
The Commission stated: "pursuant to Rule 1104 of the Rules on Fair Fund and Disgorgement Plans, 17 C.F.R. § 201.1104, for good cause shown, the time for entering an Order approving or disapproving the proposed distribution plan is extended to April 25, 2008."
34-57721
25-Apr-2008
Administrative Proceeding
Order Approving the Modified Plan of Distribution
The Commission ordered that: "A. ... the Modified
Plan of Distribution is approved. B. ... Rust
Consulting, Inc. is appointed as the Fund Administrator; and C. The bond requirement of Rule 1105(c) of the Fair Fund Rules . . . , is waived for good cause shown."
Modified Plan of Distribution
The SEC stated: "This Plan is subject to approval by the SEC."
34-58810
17-Oct-2008
Administrative Proceeding
Order Directing Disbursement of Fair Fund
The Commission stated: "[I]t is ORDERED that the Commission staff shall transfer $15,140,136.53 of the Fair Fund to Deutsche Bank and the Plan Administrator shall distribute such monies to investors, as provided for in the Plan."
34-59059
05-Dec-2008
Administrative Proceeding
Order Directing Disbursement of Fair Fund
The Commission stated: "it is ORDERED that the Commission staff shall transfer $22,582,329.59 of
the Fair Fund to Deutsche Bank and the Plan Administrator shall distribute such monies to
investors, as provided for in the Plan."
34-59992
28-May-2009
Administrative Proceeding
Order Directing Disbursement of Fair Fund
The Commission stated: "It is ORDERED that the Commission staff shall transfer $22,030,400.93 of the Fair Fund to Deutsche Bank and the Plan Administrator shall distribute such monies to investors, as provided for in the Plan."
IA-3065
05-Aug-2010
Administrative Proceeding
Order Modifying Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Janus Capital Management LLC ("JCM") submitted an Amended Offer of Settlement proposing to relieve itself of various obligations from the earlier 2004 Order. On August 5, 2010, the Commission deemed it, "appropriate and in the public interest to amend the 2004 Order as agreed to in JCM's offer."
34-66236
25-Jan-2012
Administrative Proceeding
Order Transferring Remaining Funds to the U.S. Treasury, Terminating Fair Fund, and Discharging Fund Administrator
On January 25, 2012, the SEC ordered the termination of the JCM Fair Fund and the discharge of Rust Consulting, Inc. as the Fund Administrator. The SEC also order the transfer of the $14,281.65 remaining in the JCM Fair Fund to the U.S. Treasury.
