Read Books Online and Download eBooks, EPub, PDF, Mobi, Kindle, Text Full Free.
Fundamentals Of Investment Adviser Regulation 2013
Download Fundamentals Of Investment Adviser Regulation 2013 full books in PDF, epub, and Kindle. Read online Fundamentals Of Investment Adviser Regulation 2013 ebook anywhere anytime directly on your device. Fast Download speed and no annoying ads. We cannot guarantee that every ebooks is available!
Book Synopsis Investment Adviser Regulation in a Nutshell by : Jeffrey J. Haas
Download or read book Investment Adviser Regulation in a Nutshell written by Jeffrey J. Haas and published by West Academic Publishing. This book was released on 2008 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Softbound - New, softbound print book.
Book Synopsis Principles of Financial Regulation by : John Armour
Download or read book Principles of Financial Regulation written by John Armour and published by Oxford University Press. This book was released on 2016-07-21 with total page 698 pages. Available in PDF, EPUB and Kindle. Book excerpt: The financial crisis of 2007-9 revealed serious failings in the regulation of financial institutions and markets, and prompted a fundamental reconsideration of the design of financial regulation. As the financial system has become ever-more complex and interconnected, the pace of evolution continues to accelerate. It is now clear that regulation must focus on the financial system as a whole, but this poses significant challenges for regulators. Principles of Financial Regulation describes how to address those challenges. Examining the subject from a holistic and multidisciplinary perspective, Principles of Financial Regulation considers the underlying policies and the objectives of regulation by drawing on economics, finance, and law methodologies. The volume examines regulation in a purposive and dynamic way by framing the book in terms of what the financial system does, rather than what financial regulation is. By analysing specific regulatory measures, the book provides readers to the opportunity to assess regulatory choices on specific policy issues and encourages critical reflection on the design of regulation.
Author :American Bar Association. House of Delegates Publisher :American Bar Association ISBN 13 :9781590318737 Total Pages :216 pages Book Rating :4.3/5 (187 download)
Book Synopsis Model Rules of Professional Conduct by : American Bar Association. House of Delegates
Download or read book Model Rules of Professional Conduct written by American Bar Association. House of Delegates and published by American Bar Association. This book was released on 2007 with total page 216 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Book Synopsis "Code of Massachusetts regulations, 2013" by :
Download or read book "Code of Massachusetts regulations, 2013" written by and published by . This book was released on 2013 with total page 942 pages. Available in PDF, EPUB and Kindle. Book excerpt: Archival snapshot of entire looseleaf Code of Massachusetts Regulations held by the Social Law Library of Massachusetts as of January 2020.
Book Synopsis Investment Management, Stewardship and Sustainability by : Iris H-Y Chiu
Download or read book Investment Management, Stewardship and Sustainability written by Iris H-Y Chiu and published by Bloomsbury Publishing. This book was released on 2023-02-09 with total page 435 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book brings together thought leadership from academia and leading figures in asset management in key global jurisdictions, to pool together insights regarding the transformative visions and challenges for modern investment management, as well as best practices that realise the policy objectives in regulation and soft law. The world of investment management is being challenged by new legal, regulatory and soft law developments to demonstrate that their practices cohere with the long-term needs of the saving population as well as public interest needs in financing global sustainability and social development. The chapters in this book uniquely bring together the views of academia and practice on the key developments that can transform the law and practice of investment management, including the EU's new sustainable finance reform package, the UK Stewardship Code 2020, and developments in the US regarding the fit between fiduciary law for investment management and modern sustainability concerns. The book brings together the best of both worlds–critical thoughtful perspectives from academia and qualitative insight from the investment management industry. It will be of interest to researchers in law, investment management, business and management, practitioners in the investment management industry and their legal advisers, and policy-makers in the EU, UK and beyond who are grappling with the appropriate governance paradigms for bringing about more sustainable outcomes globally.
Book Synopsis Principles of Project Finance by : E. R. Yescombe
Download or read book Principles of Project Finance written by E. R. Yescombe and published by Academic Press. This book was released on 2013-11-13 with total page 575 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Second Edition of this best-selling introduction for practitioners uses new material and updates to describe the changing environment for project finance. Integrating recent developments in credit markets with revised insights into making project finance deals, the second edition offers a balanced view of project financing by combining legal, contractual, scheduling, and other subjects. Its emphasis on concepts and techniques makes it critical for those who want to succeed in financing large projects. With extensive cross-references and a comprehensive glossary, the Second Edition presents anew a guide to the principles and practical issues that can commonly cause difficulties in commercial and financial negotiations. - Provides a basic introduction to project finance and its relationship with other financing techniques - Describes and explains: sources of project finance; typical commercial contracts (e.g., for construction of the project and sale of its product or services) and their effects on project-finance structures; project-finance risk assessment from the points of view of lenders, investors, and other project parties; how lenders and investors evaluate the risks and returns on a project; the rôle of the public sector in public-private partnerships and other privately-financed infrastructure projects; how all these issues are dealt with in the financing agreements
Book Synopsis Regulation of Money Managers by : Tamar Frankel
Download or read book Regulation of Money Managers written by Tamar Frankel and published by Wolters Kluwer. This book was released on 2015-09-16 with total page 4826 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Regulation of Money Managers (with the original subtitle: The Investment Company Act and The Investment Advisers Act) was published in 1978 and 1980. The Second Edition, subtitled Mutual Funds and Advisers, was published in 2001 and has been annually updated since then. It is a comprehensive and exhaustive treatise on investment management regulation. The treatise covers federal and state statutes, their legislative history, common law, judicial decisions, rules and regulations of the Securities and Exchange Commission, staff reports, and other publications dealing with investment advisers and investment companies. The treatise touches on other financial institutions such as banks, insurance companies, and pension funds. The work also discusses the economic, business, and theoretical aspects of the investment management industry and their effects on the law and on policy. The treatise contains detailed analysis of the history and development of the Investment Company Act and the Investment Advisers Act. It examines the definitions in the Acts, including the concept of ‘‘investment adviser,’’ ‘‘affiliates,’’ and ‘‘interested persons.’’ It outlines the duties of investment company directors, the independent directors, and other fiduciaries of investment companies. The treatise deals with the SEC’s enforcement powers and private parties’ rights of action.
Book Synopsis NISM X Taxmann's Investment Adviser (Level 1) – Encompassing a comprehensive guide investment advisory & related services – equity, debt, derivatives, mutual funds, and portfolio management services by : NISM (An Educational Initiative of SEBI)
Download or read book NISM X Taxmann's Investment Adviser (Level 1) – Encompassing a comprehensive guide investment advisory & related services – equity, debt, derivatives, mutual funds, and portfolio management services written by NISM (An Educational Initiative of SEBI) and published by Taxmann Publications Private Limited. This book was released on 2023-12-21 with total page 26 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book aims to create a common minimum knowledge benchmark for all individual investment advisers or principal officers of a non-individual investment adviser and persons associated with investment advice under SEBI (Investment Advisers) Regulations, 2013 and offering investment advisory services. This book covers all important topics to enhance the quality of investment advisory and related services in the financial services industry. It covers topics related to the following: • [Know the Basics] of the following: o Personal Financial Planning o Time Value of Money o Evaluating the Financial Position of Clients o Debt Management & Loans • [Understand the Indian Markets] for Finance and Securities segments. • [Get Oriented to Different Investment Products] such as: o Equity o Debt o Derivatives o Managed Portfolios such as mutual funds, portfolio management services and alternative investment funds • [Knowledge] about the portfolio construction, performance monitoring and evaluation • [Understand] about the operational aspects of investment management, key regulations, ethical issues of investment advisers and grievance redressal system The Present Publication is the August 2023 workbook version, published exclusively by Taxmann for NISM Certification Examination X-A | Investment Adviser (Level 1), with the following contents: • Personal Financial Planning o Introduction to Personal Financial Planning o Time Value of Money o Evaluating the Financial Position of Clients o Debt Management and Loans • Indian Financial Markets o Introduction to the Indian Financial Markets o Securities Market Segments • Investment Products o Introduction to Investment o Investing in Stocks o Investing in Fixed Income Securities o Understanding Derivatives • Investment Through Managed Portfolios o Mutual Funds o Portfolio Manager o Overview of Alternative Investment Funds (AIFs) • Portfolio Construction, Performance Monitoring and Evaluation o Introduction to Modern Portfolio Theory o Portfolio Construction Process o Portfolio Performance Measurement and Evaluation • Operations, Regulatory Environment, Compliance and Ethics o Operational Aspects of Investment Management o Key Regulations o Ethical Issues o Grievance Redress Mechanism
Book Synopsis Investment Adviser's Legal and Compliance Guide, 3rd Edition by : O'Malley, Walsh
Download or read book Investment Adviser's Legal and Compliance Guide, 3rd Edition written by O'Malley, Walsh and published by Wolters Kluwer. This book was released on 2019-06-18 with total page 990 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser's Legal and Compliance Guide
Book Synopsis Research Handbook on the Regulation of Mutual Funds by : William A. Birdthistle
Download or read book Research Handbook on the Regulation of Mutual Funds written by William A. Birdthistle and published by Edward Elgar Publishing. This book was released on 2018-10-26 with total page 477 pages. Available in PDF, EPUB and Kindle. Book excerpt: With fifty trillion in worldwide assets, the growth of mutual funds is a truly global phenomenon and deserves a broad international analysis. Local political economies and legal regimes create different regulatory preferences for the oversight of these funds, and academics, public officials and legal practitioners wishing to understand the global investing environment will require a keen awareness of these international differences. The contributors, leading scholars in the field of investment law from around the world, provide a current legal analysis of funds from a variety of perspectives and using an array of methodologies that consider the large fundamental questions governing the role and regulation of investment funds. This volume also explores the identity and behavior of investors as well as issues surrounding less orthodox funds, such as money market funds, ETFs, and private funds. This Handbook will provide legal and financial scholars, academics, lawyers and regulators with a vital tool for working with mutual funds. Contributors include: W.A. Birdthistle, M. Bullard, I.H-Y Chiu, B. Clarke, Q. Curtis, D.A. DeMott, J. Fanto, J.E. Fisch, P. Hanrahan, L.P.Q. Johnson, W.A. Kaal, A.K. Krug, A.B. Laby, J.D. Morley, A. Palmiter, I. Ramsay, E.D. Roiter, M. White, D.A. Zetzsche
Book Synopsis H.R. 4624, the Investment Adviser Oversight Act of 2012 by : United States. Congress. House. Committee on Financial Services
Download or read book H.R. 4624, the Investment Adviser Oversight Act of 2012 written by United States. Congress. House. Committee on Financial Services and published by . This book was released on 2013 with total page 336 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Facets of Corporate Governance and Corporate Social Responsibility in India by : Harpreet Kaur
Download or read book Facets of Corporate Governance and Corporate Social Responsibility in India written by Harpreet Kaur and published by Springer Nature. This book was released on 2021-02-05 with total page 217 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book focuses on the legal and social aspects of corporate governance through doctrinal and empirical research papers presented at the 9th International Conference on Governance Fraud Ethics and Social Responsibility held at National Law University Delhi in 2018. The papers encompass the internal and external factors that affect the interests of a company’s stakeholders, including shareholders, customers, suppliers, government regulators and management, and several other important players. The book provides better clarity on the concept of corporate governance and how it is intertwined with factors such as sustainability, social responsibility and the role of government, taxation and audit, and shareholder engagement.
Book Synopsis International Investment Protection of Global Banking and Finance by : Arif H. Ali
Download or read book International Investment Protection of Global Banking and Finance written by Arif H. Ali and published by Kluwer Law International B.V.. This book was released on 2021-09-14 with total page 616 pages. Available in PDF, EPUB and Kindle. Book excerpt: Global banking and finance is a complex and specialized field with sector-specific investment forms, subject to distinctive legal and regulatory frameworks and unique types of political risk. This comprehensive guide to international investment protection in the finance and banking sector, written by acknowledged experts in the field of investor-State arbitration, provides the first in-depth discussion of how international investment law applies to investors and investments in the sector. Featuring expert guidance on the key legal protections for cross-border banking and finance investments, with complete and up-to-date coverage of investor-State cases, the analysis crystallizes a set of field-specific legal principles for the sector. In particular, the authors address the following practical aspects of investment protection in the banking and finance sector: how sector-specific forms of investment, such as loans and derivatives, impact the dispute resolution process; types of political risk that cross-border investments in the sector are likely to encounter; distinctive adverse sovereign measures that underlie disputes in the sector, including those from sovereign debt defaults and banking sector bailouts; specific treaty provisions, such as jurisdictional carve-outs and targeted exclusions; remedies available for violations of international investment protections; how monetary damages may be assessed for injury to banking and finance sector investments; the scope of financial services chapters included in certain free trade agreements; the protections available under domestic foreign investment laws; and alternative sources of protection such as political risk insurance and investment contracts. International disputes practitioners and academics, in-house counsel in the finance and banking industries, and arbitrators addressing banking and finance disputes will welcome this book for its practical guidance. With strategies for investors as well as for sovereign States to navigate the intricacies of the investment protection system, the authors’ comprehensive analysis will help ensure appropriate international protection for banking and finance sector investments, both when establishing investments and when resolving disputes. The book lays the groundwork for the future consolidation of international investment protection as a critical tool to manage the political risk confronting global banking and finance.
Book Synopsis SEC Docket by : United States. Securities and Exchange Commission
Download or read book SEC Docket written by United States. Securities and Exchange Commission and published by . This book was released on 2013 with total page 888 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Essentials of Personal Financial Planning by : Susan M. Tillery
Download or read book Essentials of Personal Financial Planning written by Susan M. Tillery and published by John Wiley & Sons. This book was released on 2018-09-21 with total page 515 pages. Available in PDF, EPUB and Kindle. Book excerpt: ESSENTIALS OF PERSONAL FINANCIAL PLANNING Essentials of Personal Financial Planning was written to challenge the status quo by promoting personal financial planning (PFP) as a profession, not as a sales tool to gather assets under management or facilitate sales of insurance products. The book takes a comprehensive and integrated approach to PFP for accounting students, allowing them to view the profession through the lens of a CPA – with integrity and objectivity. This book systematically introduces the essentials of all the major PFP topics (estate, retirement, investments, insurance, and tax), as well as: The PFP process, concepts and regulatory environment. Professional responsibilities of a CPA personal financial planner and the requirements of the Statement on Standards in PFP Services. Time value of money concepts. The book then builds on these foundational concepts, showing their interconnectivity and professional opportunities, to provide a deeper understanding of PFP and its application. After reading this book, students will be able to apply the knowledge and skills gained from this course to have an immediate and long-term positive impact for themselves and for the clients they serve.
Book Synopsis US Hedge Investment Funds Handbook Volume 1 Strategic Information and Regulations by : IBP USA
Download or read book US Hedge Investment Funds Handbook Volume 1 Strategic Information and Regulations written by IBP USA and published by Lulu.com. This book was released on 2013-08 with total page 296 pages. Available in PDF, EPUB and Kindle. Book excerpt: 2011 Updated Reprint. Updated Annually. Hedge Investment Funds Handbook
Book Synopsis The Oxford Handbook of Hedge Funds by : Douglas Cumming
Download or read book The Oxford Handbook of Hedge Funds written by Douglas Cumming and published by Oxford University Press. This book was released on 2021-10-26 with total page 560 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Oxford Handbook of Hedge Funds provides a comprehensive overview of the hedge fund industry from a global perspective, bringing together insights from theoretical and applied research. The book seeks to both introduce the industry and what it does to scholars and practitioners new to the area, and to provide more advanced insights to those with extensive expertise in the area. The handbook explains the main context in which hedge funds operate, how the raise capital, and their structure and governance. It evaluates the main factors that have affected the operation of hedge funds, including competition from mutual funds, the market environment, and financial regulation, explains key concepts such as hedge fund flows, and core issues of practice, such as hedge fund manager fees. This volume provides insights into the principle head fund strategies and how these have changed over the years. The behavioural dimensions of hedge fund behaviour are evaluated, as are fintech's consequences. The volume evaluates the effects of hedge funds on the firms they invest in, in terms of internal governance, strategy and practice. Furthermore, it explores a range of ethical issues around the operation of hedge funds, how they fit within the wider political economy, and changes in hedge fund regulation and taxation strategies.
