-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UbaIrdFVVugi0q7WanGmYciqdJaHN9MPR8txtwyejduIzEXEJKdMMOepiqcQjinM DyTywoyjSWB5URm7bVT5vQ== 0001170078-08-000012.txt : 20080701 0001170078-08-000012.hdr.sgml : 20080701 20080701123613 ACCESSION NUMBER: 0001170078-08-000012 CONFORMED SUBMISSION TYPE: TA-1/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080605 DATE AS OF CHANGE: 20080701 EFFECTIVENESS DATE: 20080615 FILER: COMPANY DATA: COMPANY CONFORMED NAME: JANUS SERVICES LLC CENTRAL INDEX KEY: 0001170078 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: TA-1/A SEC ACT: 1934 Act SEC FILE NUMBER: 084-06024 FILM NUMBER: 08928633 BUSINESS ADDRESS: STREET 1: 720 S COLORADO BLVD CITY: DENVER STATE: CO ZIP: 80206 BUSINESS PHONE: 303-333-3863 TA-1/A 1 primary_doc.xml X0302 TA-1/A LIVE 3.2.0 0001170078 084-06024 SEC Janus Services LLC 265660 151 Detroit Street Denver CO COLORADO 80206 false 303-333-3863 false true true DST Systems, Inc. 084-00448 333 W 11th Street Kansas City MO MISSOURI 64105 false Other LLC Jesper Nergaard 2008-02-21 Vice President of Investment Accounting Officer of Company true Janus Capital Group Inc. Parent of Janus Capital Management LLC Janus Capital Management LLC Parent of Janus Services LLC false false false false false true None In the Matter of Janus Capital Management LLC 2003-09-05 Securities and Exchange Commission The SEC alleged that Janus violated sections 206(1) and 206(2) of the Investment Advisers Act of 1940, Sections 34(b) and 17(d) of the Investment Company Act and Rule 17D-1 thereunder in connection with market timing transactions. Pursuant to an offer of settlement, Janus neither denied or admitted the allegations. In an Order issued August 18, 2004, Janus' mutual fund board must institute certain governance policies and practices and establish a penalty fund. false false false true None State of New York v. Canary Partners, et.al. 2003-09-03 New York Attorney Genetal The NYAG filed a complaint against Canary Capital Partners in connection with late day trading and "market timing". The complaint alleged that Janus Capital allowed Canary Capital to market time certain Janus funds. Janus neither admitted or denied the allegations and agreed in a Sanction Order dated August 9, 2004, to institute certain governance policies and practices. Additionally, Janus agreed to certain public disclosures, reduce mgmt fees and provide a fee calc None colorado Attorney General Investigation 2003-12-12 State of Colorado Department of Law The Colorado Dept of Law initiated a Regulatory Action for Civil and Administrative Penalties and Undertakings against Janus alleging that Janus permitted certain investors to engage in market timing in certain funds while the certain fund's prospectus stated that frequent trading can disrupt investment strategies and increase fund expenses and that the funds are not intended for market timing or excessive trading. Janus neither admitted or denied the allegations and agreed to settle. Janus agreed to settle by entering into an Assurance of Discontinuance requiring employee awareness, additional corporate governance undertakings and disclosures and monetary penalties None Investigation by the colorado Division of Securities 2003-11-24 State of Colorado, Division of Securities ("Staff") Investigation into frequent trading or certain market timing of certain funds, alleging violations of certain Colorado statutes. Janus neither admitted or denied the allegations and agreed to enter into a stipulation for Consent Order. Janus engaged an independent compliance consultant, implemented additional policies and reviews. true None See10(d)(1)(i)-10(d)(vi) 2003-09-03 See10(d)(1)(i)-10(d)(vi) See10(d)(1)(i)-10(d)(vi) See10(d)(1)(i)-10(d)(vi) false true None See10(d)(1)(i)-10(d)(vi) 2003-09-03 See10(d)(1)(i)-10(d)(vi) See10(d)(1)(i)-10(d)(vi) See10(d)(1)(i)-10(d)(vi) false false false false false false false false false false Heidi W. Hardin Senior Vice President 303-333-3863 2008-06-04 -----END PRIVACY-ENHANCED MESSAGE-----