Guggenheim Investments Announces Appointment of Interim Chief Compliance Officer for Certain Closed-End & Exchange-Traded Funds
September 28 2012 - 4:30PM
Business Wire
The exchange-traded funds and certain closed-end funds advised
or serviced by Guggenheim Funds Investments Advisors, LLC or
Guggenheim Funds Distributors, LLC (together the “Funds”) announced
today the appointment by each Fund’s Board of Trustees of Ms.
Joanna Catalucci as the Interim Chief Compliance Officer of each
Fund.
Ms. Catalucci is a Managing Director of Compliance and Fund
Board Relations within Guggenheim Partners. In this role, she leads
the strategic direction of the comprehensive compliance program for
Guggenheim Investments focusing on compliance requirements of the
investment advisors, products and distribution. In addition, Ms.
Catalucci assists in the facilitation of consistency and overall
relationship management of the multiple fund boards. Before joining
Guggenheim, she served as senior vice president and chief
compliance officer of Rydex|SGI for 12 years. In this role, Ms.
Catalucci oversaw the compliance programs for Rydex|SGI’s
investment advisor, mutual funds and ETFs, as well as institutional
accounts. Ms. Catalucci also oversaw the execution and monitoring
of Rydex|SGI’s code of ethics and coordinated all aspects of
various regulatory exams. In addition, she led the Risk Committee
for Rydex|SGI. Before joining Rydex|SGI in 2000, Ms. Catalucci
served as vice president of fund administration for Chase Global
Fund Services Co., where she was responsible for compliance for the
Morgan Stanley Dean Witter group of funds. Before that, she served
as an audit supervisor at PricewaterhouseCoopers, LLP. Ms.
Catalucci holds a B.S. degree in accounting from Merrimack College
in Andover, MA. She also holds a Financial Industry Regulatory
Authority (“FINRA”) Series 7 license.
The Funds for which this change is applicable include all
exchange-traded funds in the Claymore Exchange-Traded Fund Trust
and Claymore Exchange-Traded Fund Trust 2 and the following
closed-end funds advised or serviced by Guggenheim Funds Investment
Advisors, LLC or Guggenheim Funds Distributors, LLC:
FMO Fiduciary/Claymore MLP Opportunity Fund GBAB Guggenheim
Build America Bonds Managed Duration Trust GEQ Guggenheim Equal
Weight Enhanced Equity Income Fund GGE Guggenheim Enhanced Equity
Strategy Fund GOF Guggenheim Strategic Opportunities Fund GPM
Guggenheim Enhanced Equity Income Fund MCN Madison/Claymore Covered
Call & Equity Strategy Fund MZF Managed Duration Investment
Grade Municipal Fund
About Guggenheim Investments
Guggenheim Investments represents the investment management
division of Guggenheim Partners (“Guggenheim”), which consists of
investment managers with approximately $130 billion in combined
total assets*. Guggenheim Investments is comprised of several
investment management entities within Guggenheim. Collectively,
Guggenheim Investments has a long, distinguished history of serving
institutional investors, ultra-high-net-worth individuals, family
offices and financial intermediaries. Guggenheim Investments offers
clients a wide range of differentiated capabilities built on a
proven commitment to investment excellence. Guggenheim Investments
has offices in Chicago, New York City and Santa Monica, along with
a global network of offices throughout the United States, Europe,
and Asia.
* The total asset figure is as of 6.30.2012 and includes $10.7B
of leverage for Assets Under Management and $0.8B of leverage for
Serviced Assets. Total assets includes assets from Security
Investors, Guggenheim Partners Investment Management, Guggenheim
Funds and its affiliated entities, and some business units
including Guggenheim Real Estate, Guggenheim Aviation, GS GAMMA
Advisors, Guggenheim Partners Europe, Transparent Value Advisors,
and Guggenheim Partners India Management. Values from some funds
are based upon prior periods.
This information does not represent an offer to sell securities
of the Funds and it is not soliciting an offer to buy securities of
the Funds. There can be no assurance that the Funds will achieve
their investment objectives. The net asset value of the Funds will
fluctuate with the value of the underlying securities. It is
important to note that closed-end funds trade on their market
value, not net asset value, and closed-end funds often trade at a
discount to their net asset value. Past performance is not
indicative of future performance. An investment in closed-end funds
is subject to investment risk, including the possible loss of the
entire amount that you invest. Some general risks and
considerations associated with investing in a closed-end fund
include: Investment and Market Risk; Lower Grade Securities Risk;
Equity Securities Risk; Foreign Securities Risk; Interest Rate
Risk; Illiquidity Risk; Derivative Risk; Management Risk;
Anti-Takeover Provisions; Market Disruption Risk and Leverage Risk
and AMPS Risk. See www.guggenheimfunds.com/cef for a detailed
discussion of fund-specific risks.
Investors should consider the investment objectives and
policies, risk considerations, charges and expenses of any
investment before they invest. Read an ETF’s prospectus and summary
prospectus (if available) carefully before investing. It contains
the ETF’s investment objectives, risks, charges, expenses and other
information, which should be considered carefully before investing.
Obtain a prospectus and summary prospectus (if available) for ETFs
and other funds distributed by Guggenheim Funds Distributors, LLC
at guggenheimfunds.com or call 800.345.7999.
NOT FDIC-INSURED | NOT BANK-GUARANTEED | MAY LOSE VALUE
Member FINRA/SIPC (9/12)
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