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Personal Investment Activities Of Investment Company Personnel
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Author :United States. Securities and Exchange Commission. Division of Investment Management Publisher : ISBN 13 : Total Pages :140 pages Book Rating :4.:/5 (33 download)
Book Synopsis Personal Investment Activities of Investment Company Personnel by : United States. Securities and Exchange Commission. Division of Investment Management
Download or read book Personal Investment Activities of Investment Company Personnel written by United States. Securities and Exchange Commission. Division of Investment Management and published by . This book was released on 1994 with total page 140 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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 Investment Adviser Regulation by : Clifford E. Kirsch
Download or read book Investment Adviser Regulation written by Clifford E. Kirsch and published by . This book was released on 2006 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.
Book Synopsis Investment Company Act Release by : United States. Securities and Exchange Commission
Download or read book Investment Company Act Release written by United States. Securities and Exchange Commission and published by . This book was released on 1967 with total page 974 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Investment Adviser's Legal and Compliance Guide by : Terrance J. O'Malley
Download or read book Investment Adviser's Legal and Compliance Guide written by Terrance J. O'Malley and published by Wolters Kluwer. This book was released on 2013-01-01 with total page 1060 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser's Legal and Compliance Guide, Second Edition is an invaluable guide written to assist attorneys and investment advisers in both drafting their compliance policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for experienced attorneys and compliance officers for fulfilling their changing responsibilities under new rules adopted under the Investment Advisers Act of 1940, as well as new staff interpretations and guidance. For the Second Edition, the original author, Terrance J. Oand’Malley, is joined by John H. Walsh. While both authors are seasoned practitioners and acknowledged experts in the area of investment adviser compliance matters, Mr. Walshand’s years of experience, including at the SEC, are reflected in the enhanced practical discussion of relevant legal and compliance issues, including increased numbers of compliance tips, enforcement and regulatory alerts, and compliance tools. Investment Adviser's Legal and Compliance Guide, Second Edition covers in detail such topics as: Filings and amendments that an adviser must make to maintain its SEC registration Major rules and requirements dealing with marketing and attracting new clients Issues arising in connection with the management of private funds The SEC's examination process New clients, and the management of client accounts. The book also covers requirements relating to the adviser's obligation to its customers, including preventing insider trading and other trading abuses, as well as an adviser's recordkeeping, which is a major factor in meeting the requirements of the Investment Advisers Act. In addition, Investment Adviser's Legal and Compliance Guide, Second Edition provides registered investment advisers and their legal counsel with a comprehensive review of their compliance responsibilities that arise under the Investment Advisers Act.
Book Synopsis Investment Company Determination Under the 1940 Act by : Robert H. Rosenblum
Download or read book Investment Company Determination Under the 1940 Act written by Robert H. Rosenblum and published by American Bar Association. This book was released on 2003 with total page 980 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance Publisher : ISBN 13 :9780160468711 Total Pages :164 pages Book Rating :4.4/5 (687 download)
Book Synopsis Mutual Fund Industry by : United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance
Download or read book Mutual Fund Industry written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance and published by . This book was released on 1994 with total page 164 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Investment Company Act of 1940, as Amended by : United States
Download or read book Investment Company Act of 1940, as Amended written by United States and published by . This book was released on 1977 with total page 112 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Chambers Global written by Ross Cogan and published by . This book was released on 2006 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Holding Company Act. Release by : United States. Securities and Exchange Commission
Download or read book Holding Company Act. Release written by United States. Securities and Exchange Commission and published by . This book was released on 1941 with total page 428 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Regulation of Investment Companies by : Thomas P. Lemke
Download or read book Regulation of Investment Companies written by Thomas P. Lemke and published by . This book was released on 1997-03-06 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: The price quoted for the work covers one year's worth of service. The upkeep price for the work is $147.00 (updated with revisions).
Author :The Securities Institute of America, Inc. Publisher :John Wiley & Sons ISBN 13 :1118675495 Total Pages :311 pages Book Rating :4.1/5 (186 download)
Book Synopsis Wiley Series 6 Exam Review 2013 + Test Bank by : The Securities Institute of America, Inc.
Download or read book Wiley Series 6 Exam Review 2013 + Test Bank written by The Securities Institute of America, Inc. and published by John Wiley & Sons. This book was released on 2013-06-17 with total page 311 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Investment Company Products/Variable Contracts Limited Representative exam, or the Series 6, qualifies an individual who will function as a principal for the solicitation, purchase, and/or sale of redeemable securities of companies registered pursuant to the Investment Company Act of 1940; securities of closed-end companies registered pursuant to the Investment Company Act of 1940 during the period of original distribution only; and variable contracts and insurance premium funding programs and other contracts issued by an insurance company. This qualification allows transactions on the following: Mutual funds (closed-end funds on the initial offering only); variable annuities; variable life insurance; unit investment trusts; municipal fund securities (e.g., 529 College Savings Plans, Local Government Investment Pools (LGIPs), Coverdell Education Savings Accounts). A Series 6 Registered Representative may conduct business in mutual funds and variable contracts. Each book is accompanied by an online test bank with 201 questions, organized by chapter. The questions included in the book have been included in this online test bank. Topics Covered: Securities Markets, Investment Securities and Economic Factors Securities and Tax Regulation Marketing, Prospecting and Sales Presentation Evaluation of Customers Product Information; Investment Company Securities and Variable Contracts Opening and Servicing Customer Accounts Test: 100 multiple-choice questions; Two hours and fifteen minutes to complete exam; Candidate must answer 70% of the questions correctly to pass. There are no pre-requisites to take the Series 6 exam, but candidates must be sponsored by a FINRA member firm.
Book Synopsis A Primer for Investment Trustees by : Jeffery V. Bailey
Download or read book A Primer for Investment Trustees written by Jeffery V. Bailey and published by . This book was released on 2011-01 with total page 107 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis The Law of Private Investment Funds by : Timothy Spangler
Download or read book The Law of Private Investment Funds written by Timothy Spangler and published by OUP Oxford. This book was released on 2012-09-06 with total page 413 pages. Available in PDF, EPUB and Kindle. Book excerpt: The new edition of The Law of Private Investment Funds offers a practical analysis of the legal and regulatory issues that arise in connection with the structuring, formation, and operation of private investment funds, including hedge funds, private equity funds, real estate funds, and other non-retail collective investment vehicles. The book provides a unique analysis of these funds on a pan-asset class basis, as well as from a US, UK, and European perspective. The themes of investor protection and fiduciary challenge are considered in the context of the various sources available for investor protection including the substantive rights and obligations under general law, and voluntary and statutory rights of regulation. The author considers the various aspects of running private investment funds against the backdrop of regulation and investor protection. Issues such as structuring and launching, and marketing private investment funds are considered in full. The author also looks at the governance challenge where limited partnerships and offshore companies are concerned. The book identifies governance as a key issue for private investment fund participants and discusses in depth several ways in which managers and fund participants can improve the governance of their funds. In addition it analyses the consequences and impact of the recent global financial crisis on private funds, and the response of the US, UK, and European regulators. The new edition includes increased coverage of best practice and industry guidelines, including the ILPA Guidelines for private equity funds, and the MFA's Best Practices for hedge funds. It also provides discussion of new regulatory regimes in the US and EU, including the Dodd Frank Act and AIFMD.
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
Book Synopsis Investing in America's Workforce by : Carl E. Van Horn
Download or read book Investing in America's Workforce written by Carl E. Van Horn and published by . This book was released on 2018 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Ethics in Finance written by and published by John Wiley & Sons. This book was released on 2013-12-02 with total page 299 pages. Available in PDF, EPUB and Kindle. Book excerpt: The third edition of Ethics in Finance presents an authoritative and wide-ranging examination of the major ethical issues in finance. This new edition has been expanded and thoroughly updated with extensive coverage of the recent financial crisis and the very latest developments within the financial world. Substantially updated new edition with nearly 40% new material, including sections on credit cards, mortgage lending, microfinance, risk management, derivatives, and securitization Includes coverage and references to the recent financial crisis and the very latest developments within the financial world Focuses on the practical issues that confront finance professionals, policy makers, and consumers of financial services Cites examples of the scandals that have shaken public confidence in Wall Street and world financial markets Includes numerous examples throughout to illustrate the concepts and issues described within the text
