Mutual Fund Regulation

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Regulation of Money Managers

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Author : Tamar Frankel
Publisher : Wolters Kluwer
ISBN 13 : 145487063X
Total Pages : 4826 pages
Book Rating : 4.4/5 (548 download)

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.

Research Handbook on the Regulation of Mutual Funds

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Author : William A. Birdthistle
Publisher : Edward Elgar Publishing
ISBN 13 : 1784715050
Total Pages : 480 pages
Book Rating : 4.7/5 (847 download)

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 480 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.

Advising High-technology Companies

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Author : Clifford E. Kirsch
Publisher : Harper Collins
ISBN 13 : 9781402403965
Total Pages : 1330 pages
Book Rating : 4.4/5 (39 download)

Book Synopsis Advising High-technology Companies by : Clifford E. Kirsch

Download or read book Advising High-technology Companies written by Clifford E. Kirsch and published by Harper Collins. This book was released on 2004 with total page 1330 pages. Available in PDF, EPUB and Kindle. Book excerpt: Offering in-depth coverage of bedrock immigration legislation, the latest federal standards, and pivotal court decisions, PLI's Immigration Fundamentals: A Guide to Law and Practice gives you the legal and procedural knowledge to work more efficiently and effectively with employers, aliens, nonimmigrants, refugees, naturalized citizens, and government officials.

Mutual Fund Regulation

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Author : Clifford E. Kirsch
Publisher :
ISBN 13 : 9781402405723
Total Pages : 0 pages
Book Rating : 4.4/5 (57 download)

Book Synopsis Mutual Fund Regulation by : Clifford E. Kirsch

Download or read book Mutual Fund Regulation written by Clifford E. Kirsch and published by . This book was released on 2005-01-26 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: The complexity of the laws governing mutual funds has grown almost as rapidly as this multitrillion-dollar industry. The new Mutual Fund Regulation distills and clarifies these intricate federal and state guidelines like no other book on the market today, enabling you and your clients to meet all requirements, exploit legal exemptions, and avoid liabilities. Mutual Fund Regulation gives you the practical, plain-English insight you need to comply quickly and easily with all the duties, obligations, restrictions, and prohibitions expressed in the Investment Company Act of 1940, Investment Advisers Act, Securities Act of 1933, and Securities Exchange Act of 1934, as well as SEC mandates, NASD conduct rules, court decisions, and state laws. Written by a team of top corporate and securities attorneys for every industry player, Mutual Fund Regulation's step-by-step guidance helps you:. Satisfy all prospectus disclosure and delivery requirements.. Exploit safe harbors, exemptive rules, and other forms of relief.. Craft solid advisory, distribution, custodian, and other types of contracts.. Structure problem-free compensation arrangements.. Use SEC-approved methods of valuating mutual fund shares.

Mutual Fund Regulation

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Author : Clifford E. Kirsch
Publisher : Practising Law Institute
ISBN 13 : 9781402401305
Total Pages : 1710 pages
Book Rating : 4.4/5 (13 download)

Book Synopsis Mutual Fund Regulation by : Clifford E. Kirsch

Download or read book Mutual Fund Regulation written by Clifford E. Kirsch and published by Practising Law Institute. This book was released on 2005-01-01 with total page 1710 pages. Available in PDF, EPUB and Kindle. Book excerpt: Mutual Fund Regulation provides you with the comprehensive and current coverage that enables you to comply more cost-effectively with these many standards. Mutual Fund Regulation helps you to establish effective compliance policies and procedures that make your regulatory burdens easier to fulfill; meet onerous prospectus disclosure and delivery requirements more easily; draft the full range of relevant documents; satisfy rules for mutual fund marketing materials, including online standards; and qualify for statutory ?safe harbors? that free you from certain regulatory demands.

U.S. Regulation of Hedge Funds

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Author : Douglas L. Hammer
Publisher : American Bar Association
ISBN 13 : 9781590312971
Total Pages : 398 pages
Book Rating : 4.3/5 (129 download)

Book Synopsis U.S. Regulation of Hedge Funds by : Douglas L. Hammer

Download or read book U.S. Regulation of Hedge Funds written by Douglas L. Hammer and published by American Bar Association. This book was released on 2005 with total page 398 pages. Available in PDF, EPUB and Kindle. Book excerpt: This authoritative resource surveys federal securities laws and rules applicable to the organization, capitalization and operations of private U.S. domestic investment partnerships that invest and trade mainly in the public securities markets. Includes a detailed index.

Financial Crisis of 2008 in Fixed Income Markets

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Author : Gerald P. Dwyer
Publisher : DIANE Publishing
ISBN 13 : 1437928706
Total Pages : 52 pages
Book Rating : 4.4/5 (379 download)

Book Synopsis Financial Crisis of 2008 in Fixed Income Markets by : Gerald P. Dwyer

Download or read book Financial Crisis of 2008 in Fixed Income Markets written by Gerald P. Dwyer and published by DIANE Publishing. This book was released on 2010-08 with total page 52 pages. Available in PDF, EPUB and Kindle. Book excerpt: Explores how a relatively small amount of heterogeneous securities created turmoil in financial markets in much of the world in 2007 and 2008. The drivers of the financial turmoil and the financial crisis of 2008 were heterogeneous securities that were hard to value. These securities created concerns about counterparty risk and ultimately created substantial uncertainty. The problems spread in ways that were hard to see in advance. The run on prime money market funds in September 2008 and the effects on commercial paper were an important aspect of the crisis itself and are discussed in some detail. Charts and tables.

Mutual Funds

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Author : United States. General Accounting Office
Publisher :
ISBN 13 :
Total Pages : 48 pages
Book Rating : 4.F/5 ( download)

Book Synopsis Mutual Funds by : United States. General Accounting Office

Download or read book Mutual Funds written by United States. General Accounting Office and published by . This book was released on 2004 with total page 48 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Investment Management Law and Regulation

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Author : Harvey E. Bines
Publisher : Wolters Kluwer
ISBN 13 : 0735530483
Total Pages : 968 pages
Book Rating : 4.7/5 (355 download)

Book Synopsis Investment Management Law and Regulation by : Harvey E. Bines

Download or read book Investment Management Law and Regulation written by Harvey E. Bines and published by Wolters Kluwer. This book was released on 2004-01-01 with total page 968 pages. Available in PDF, EPUB and Kindle. Book excerpt: In its First Edition, this classic treatise called attention to the duty of reasonable care, the duty of loyalty and the public duty of fiduciaries to the marketplace. Grounded in the idea that prudent investing is to be defined by professional practices accepted as appropriate at the time of investment by the management, thereby permitting such practices to adapt to changing conditions and insights, the field of investment management law and regulation has at its center the goal of a common standard of care for investment.Now in its Second Edition, this definitive guide to investment management law and regulation helps you to profitably adapt to today's new and changing conditions and anticipate tomorrow's regulatory response.Here are just a few of the reasons why Investment Management Law and Regulation will be so valuable to you:Explains and analyzes all the ins and outs of the law, clarifies the complexities, answers your questions, points out pitfalls and helps you avoid themCovers the entire field in one volume, saves you valuable time and effort in finding information and searching through stacks of referencesEnsures compliance with all relevant regulations, makes sure nothing is overlooked, protects you against costly mistakesUpdates you on the latest important changes, tells you what is happening now and what is likely to happen in the future Investment Management Law and Regulation is the only up-to-date volume to offer a comprehensive examination of the field of investment management law, covering everything from financial theory and legal theory to the various aspects of hands-on fund management. It's the only resource of its kind that:Identifies and explains the financial theories that control the development of investment management law across management activitiesGives critical judicial, legislative, and regulatory history that makes recent law and regulation more comprehensibleCovers all areas of regulation governing the activities of investment managers, including marketing, suitability, advisory contacts, fees, exculpation and indemnification, performance, fiduciary obligations, conflicts of interest, best executionProvides the practical tools that help predict more effectively how regulators will respond to new marketplace developments and productsIntegrates investment management law and regulation for all institutional investment managersAnd more Whether you are a manager, broker, banker, or legal counsel, a seasoned professional or just starting out, this treatise will quickly become your most trusted guide through the intricacies of this complex, critical, and closely scrutinized area

Mutual Funds

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Author : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
Publisher :
ISBN 13 :
Total Pages : 120 pages
Book Rating : 4.F/5 ( download)

Book Synopsis Mutual Funds by : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises

Download or read book Mutual Funds written by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises and published by . This book was released on 2005 with total page 120 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Protecting Investors

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Author : United States. Securities and Exchange Commission. Division of Investment Management
Publisher :
ISBN 13 :
Total Pages : 586 pages
Book Rating : 4.F/5 ( download)

Book Synopsis Protecting Investors by : United States. Securities and Exchange Commission. Division of Investment Management

Download or read book Protecting Investors written by United States. Securities and Exchange Commission. Division of Investment Management and published by . This book was released on 1992 with total page 586 pages. Available in PDF, EPUB and Kindle. Book excerpt:

The Economics of Mutual Fund Markets: Competition Versus Regulation

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Author : William Baumol
Publisher : Springer Science & Business Media
ISBN 13 : 9400921853
Total Pages : 250 pages
Book Rating : 4.4/5 (9 download)

Book Synopsis The Economics of Mutual Fund Markets: Competition Versus Regulation by : William Baumol

Download or read book The Economics of Mutual Fund Markets: Competition Versus Regulation written by William Baumol and published by Springer Science & Business Media. This book was released on 2012-12-06 with total page 250 pages. Available in PDF, EPUB and Kindle. Book excerpt: The original impetus for this research was provided several years ago by a request to assist Counsel for Fidelity Management and Research Corporation in analyzing the mutual fund industry, with particular emphasis on money market mutual funds. We were asked to focus our efforts on the mechanism by which the advisory fees of mutual funds are determined. This request arose out of litigation that challenged the level of advisory fees charged to the shareholders of the Fidelity Cash Reserve Fund. Subsequently, we were asked to provide similar assistance to Counsel for T. Rowe Price Associates regarding the fees charged to shareholders of their Prime Reserve Fund. 1940, advisers of Under the Investment Company Act of mutual funds have a fiduciary duty with respect to the level of fees they may charge a fund's shareholders. Since the passage of the Investment Company Act, there have been numerous lawsuits brought by shareholders alleging that advisory fees were excessive. In these lawsuits, the courts have failed to provide a set of standards for determining when such fees are excessive. Instead, they have relied on arbitrary and frequently ill-defined criteria for jUdging the reasonableness of fees. This failure to apply economic-based tests for evaluating the fee structure of mutual funds provided the motivation for the present book, which undertakes a comprehensive analysis of the economics of the mutual fund industry.

Protecting Investors

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Author : United States. Securities and Exchange Commission. Division of Investment Management
Publisher : Securities and Exchange Commission
ISBN 13 :
Total Pages : 580 pages
Book Rating : 4.3/5 (91 download)

Book Synopsis Protecting Investors by : United States. Securities and Exchange Commission. Division of Investment Management

Download or read book Protecting Investors written by United States. Securities and Exchange Commission. Division of Investment Management and published by Securities and Exchange Commission. This book was released on 1992 with total page 580 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Mutual Fund Distribution and Section 22(d) of the Investment Company Act of 1940

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Author : United States. Securities and Exchange Commission. Division of Investment Management Regulation
Publisher :
ISBN 13 :
Total Pages : 224 pages
Book Rating : 4.A/5 ( download)

Book Synopsis Mutual Fund Distribution and Section 22(d) of the Investment Company Act of 1940 by : United States. Securities and Exchange Commission. Division of Investment Management Regulation

Download or read book Mutual Fund Distribution and Section 22(d) of the Investment Company Act of 1940 written by United States. Securities and Exchange Commission. Division of Investment Management Regulation and published by . This book was released on 1974 with total page 224 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Mutual Fund Legislation of 1967

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Author : United States. Congress. Senate. Committee on Banking and Currency
Publisher :
ISBN 13 :
Total Pages : 696 pages
Book Rating : 4.:/5 (6 download)

Book Synopsis Mutual Fund Legislation of 1967 by : United States. Congress. Senate. Committee on Banking and Currency

Download or read book Mutual Fund Legislation of 1967 written by United States. Congress. Senate. Committee on Banking and Currency and published by . This book was released on 1967 with total page 696 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Regulation and Governance of Mutual Funds

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Author : Mohammed Khair Alshaleel
Publisher : Taylor & Francis
ISBN 13 : 1000634906
Total Pages : 272 pages
Book Rating : 4.0/5 (6 download)

Book Synopsis Regulation and Governance of Mutual Funds by : Mohammed Khair Alshaleel

Download or read book Regulation and Governance of Mutual Funds written by Mohammed Khair Alshaleel and published by Taylor & Francis. This book was released on 2022-08-12 with total page 272 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book provides a detailed analysis of mutual fund regulations and governance in the UK from the investor protection perspective. It comprehensively describes mutual funds by their function, social utility, and legal attributes, examining the level of protection provided to retail investors under existing regulations. Mutual funds are externally managed with fund ownership separated out from their management, which carries a potential conflict of interest between the self-interests of the fund management and each fund’s investors. The book provides an in-depth analysis of this agency problem in the mutual fund industry, comparing the competing governance models in the UK and the US and the supervision of management activities. In the UK, it investigates the main governance mechanisms, including disclosure, the effectiveness of voting rights, and the role of the Financial Conduct Authority in protecting investors. It also considers the role of prudential regulations in protecting mutual fund investors, with a particular focus on risk management and mutual fund liquidity crisis. The book further investigates the impact of the withdrawal of the UK from the European Union (Brexit) on the industry and what this means for the future of the undertakings for collective investment in transferable securities (UCITS) in the UK. The concept of mutual funds is still not clearly understood, so this book will clearly define the different legal and practical aspects of mutual funds. It will be the first substantial study of mutual fund governance mechanisms under the existing mutual fund laws and regulations in the UK.

Mutual funds assessment of regulatory reforms to improve the management and sale of mutual funds

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Author :
Publisher : DIANE Publishing
ISBN 13 : 1428937528
Total Pages : 32 pages
Book Rating : 4.4/5 (289 download)

Book Synopsis Mutual funds assessment of regulatory reforms to improve the management and sale of mutual funds by :

Download or read book Mutual funds assessment of regulatory reforms to improve the management and sale of mutual funds written by and published by DIANE Publishing. This book was released on with total page 32 pages. Available in PDF, EPUB and Kindle. Book excerpt: