Regulation And Governance Of Mutual Funds

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Regulation and Governance of Mutual Funds

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

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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.

Research Handbook on the Regulation of Mutual Funds

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

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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.

Mutual Funds

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)

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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:

Regulation of Money Managers

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

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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.

Mutual Fund Regulation

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

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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.

Mutual Fund Legislation of 1967

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

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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:

Fund Director's Guidebook

Author : Federal Regulation of Securities Committee
Publisher : American Bar Association
ISBN 13 : 9781590315101
Total Pages : 144 pages
Book Rating : 4.3/5 (151 download)

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Book Synopsis Fund Director's Guidebook by : Federal Regulation of Securities Committee

Download or read book Fund Director's Guidebook written by Federal Regulation of Securities Committee and published by American Bar Association. This book was released on 2006 with total page 144 pages. Available in PDF, EPUB and Kindle. Book excerpt: Written for directors of both open-end investment companies (typically referred to as mutual funds) and closed-end funds, this new Third Edition offers suggestions to assist directors in their roles and obligations. The new edition has been updated to reflect key legal developments that have emerged since the second edition appeared in 2003 including the impact of the Sarbanes-Oxley Act and initiatives undertaken by the SEC in response to the mutual funds scandals occurring in 2003 and 2004.

Investment Management Regulation

Author : Tamar Frankel
Publisher :
ISBN 13 :
Total Pages : 564 pages
Book Rating : 4.F/5 ( download)

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Book Synopsis Investment Management Regulation by : Tamar Frankel

Download or read book Investment Management Regulation written by Tamar Frankel and published by . This book was released on 1998 with total page 564 pages. Available in PDF, EPUB and Kindle. Book excerpt:

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

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

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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:

Mutual Fund Regulation

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

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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.

U.S. Regulation of Hedge Funds

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

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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.

H.R. 2420, the Mutual Funds Integrity and Fee Transparency Act of 2003

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Book Synopsis H.R. 2420, the Mutual Funds Integrity and Fee Transparency Act of 2003 by : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises

Download or read book H.R. 2420, the Mutual Funds Integrity and Fee Transparency Act of 2003 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 2003 with total page 344 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Regulation of Money Managers 2000

Author : Wolters Kluwer Law & Business
Publisher : Aspen Publishers
ISBN 13 : 9780735510807
Total Pages : 1974 pages
Book Rating : 4.5/5 (18 download)

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Book Synopsis Regulation of Money Managers 2000 by : Wolters Kluwer Law & Business

Download or read book Regulation of Money Managers 2000 written by Wolters Kluwer Law & Business and published by Aspen Publishers. This book was released on 1999-12-01 with total page 1974 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Protecting Investors

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)

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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:

Hedge Funds

Author : Theodor Baums
Publisher : Walter de Gruyter GmbH & Co KG
ISBN 13 : 3110907348
Total Pages : 172 pages
Book Rating : 4.1/5 (19 download)

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Book Synopsis Hedge Funds by : Theodor Baums

Download or read book Hedge Funds written by Theodor Baums and published by Walter de Gruyter GmbH & Co KG. This book was released on 2015-02-06 with total page 172 pages. Available in PDF, EPUB and Kindle. Book excerpt: The number of hedge funds and the assets they have under management has increased in recent years. This increase became significantly more pronounced after the market downturn in 2001. Hedge funds can help investors to benefit from volatile and even sinking stock markets. However, despite the prominent use of the word "hedge" in their name, such funds rarely offer a safe hedge against risk, given that they depend heavily on skill-based investment techniques and often invest in highly speculative financial instruments. Nevertheless, such funds received no specific treatment in the legislation of such major markets as Germany and the United States for years. Against the backdrop of international regulatory concern for hedge funds, the Institute for Law and Finance (ILF), in cooperation with Deutsches Aktieninstitut e.V. (DAI), brought together leading scholars, lawyers and bankers, to assess the risks, opportunities and regulatory challenges that hedge funds present. At the time of the conference, German lawmakers were still discussing the need and possible content of a new law. The fruit of their discussions was the German Investment-Modernization Act (Investmentmodernisierungsgesetz), which entered into force on January 1, 2004, and increased the attractiveness of offering hedge fund products in the German market. This inaugural volume of the Institute for Law and Finance Series contains the proceedings of the ILF/DAI May 2003 conference entitled "Hedge Funds: Risks and Regulation", and presents papers discussing the economic characteristics of and regulatory strategies for addressing hedge funds. The first two papers examine hedge funds from an economic perspective. Alexander M. Ineichen, Managing Director and Global Head of AIS Research at UBS, reveals the economic reality of hedge funds from the myths that has surrounded them. Then Franklin R. Edwards, Professor and Director of the Center for the Study of Futures Markets of the Columbia Business School in New York explains how the regulation of hedge funds should be tailored to their core economic reality and the goals of financial stability and investor protection. Next, Marcia L. MacHarg, a partner of Debevoise & Plimpton LLP, Ashley Kovas, a Manager in the Business Standards Department of the Financial Services Authority, London, and Edgar Wallach, a partner of Hengeler Mueller, present the state of the relevant regulatory structures in the United States, the United Kingdom, and Germany, respectively. The book then closes with an analysis of corporate structures used for German hedge funds, offered by Kai-Uwe Steck, a member of the German Asset Management practice group of Shearman & Sterling LLP.

Mutual Funds and Exchange Traded Funds Regulation

Author : Clifford E. Kirsch
Publisher :
ISBN 13 : 9781402416910
Total Pages : 0 pages
Book Rating : 4.4/5 (169 download)

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Book Synopsis Mutual Funds and Exchange Traded Funds Regulation by : Clifford E. Kirsch

Download or read book Mutual Funds and Exchange Traded Funds Regulation written by Clifford E. Kirsch and published by . This book was released on 2011-11-16 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:

The Mutual Fund Industry

Author : R. Glenn Hubbard
Publisher : Columbia University Press
ISBN 13 : 023152532X
Total Pages : 252 pages
Book Rating : 4.2/5 (315 download)

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Book Synopsis The Mutual Fund Industry by : R. Glenn Hubbard

Download or read book The Mutual Fund Industry written by R. Glenn Hubbard and published by Columbia University Press. This book was released on 2010-04-01 with total page 252 pages. Available in PDF, EPUB and Kindle. Book excerpt: Mutual funds form the bedrock of retirement savings in the United States, and, considering their rapid growth, are sure to be more critical in the future. Because the size of fees paid by investors to mutual fund advisers can strongly affect the return on investment, these fees have become a contentious issue in Congress and the courts, with many arguing that investment advisers grow rich at the expense of investors. This ground-breaking book not only conceptualizes a new economic model of the mutual fund industry, but also uses this model to test for price competition between investment advisers, evaluating the assertion that market forces fail to protect investors' returns from excessive fees. Highly experienced authors track the growth of the industry over the past twenty-five years and present arguments and evidence both for and against theories of adviser malfeasance. The authors review the regulatory history of mutual fund fees and summarize leading case decisions addressing excessive fees. Revealing the extent to which the governance structure of mutual funds truly impacts fund performance, this book provides the best understanding of today's mutual fund industry and is a vital tool for investors, money managers, fund directors, securities lawyers, economists, and anyone concerned with the regulation of mutual funds.