The document discusses the performance and regulatory aspects of SRI Shares and the associated risks for non-SRI Investors. It highlights limited regulatory oversight due to exclusions from the Investment Company Act of 1940 and potential risks related to brokerage practices. It also mentions the Management Company's trading limitations under CFTC regulations and the possibility of future regulatory changes.
doj/DataSet10/EFTA01384677.pdf
{"document_type":"financial","document_subtype":"investment document","key_organizations":["Alpha Group Capital","Management Company","Partnership","Underlying Funds","SEC","CFTC"],"reference_numbers":["DOC ID-10746057.132","DB-SDNY-0085088","SDNY_GM_00231272","EFTA01384677"]}