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Us Regulation For Asset Managers Outside The United States
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Book Synopsis US Regulation for Asset Managers Outside the United States by : Jack W. Murphy
Download or read book US Regulation for Asset Managers Outside the United States written by Jack W. Murphy and published by . This book was released on 2017-05-31 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: This new edition covers all aspects of US regulation that affect investment management firms, broker dealers and their advisers outside the United States. This encompasses not only SEC regulation, but also CFTC and ERISA aspects, and the text will also deal with aspects of broker dealer legislation and regulation that impacts on investment management work
Author :United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs Publisher : ISBN 13 : Total Pages :66 pages Book Rating :4.3/5 (243 download)
Book Synopsis Regulation of Securities Trading by Members of National Securities Exchanges and the Sale of Investment Advisers of Registered Investment Companies by : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Download or read book Regulation of Securities Trading by Members of National Securities Exchanges and the Sale of Investment Advisers of Registered Investment Companies written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs and published by . This book was released on 1973 with total page 66 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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:
Download or read book The Fund Industry written by Robert Pozen and published by John Wiley & Sons. This book was released on 2015-02-02 with total page 549 pages. Available in PDF, EPUB and Kindle. Book excerpt: A guide to how your money is managed, with foreword by Nobel laureate Robert Shiller The Fund Industry offers a comprehensive look at mutual funds and the investment management industry, for fund investors, those working in the fund industry, service providers to the industry and students of financial institutions or capital markets. Industry experts Robert Pozen and Theresa Hamacher take readers on a tour of the business of asset management. Readers will learn how to research a fund and assess whether it's right for them; then they'll go behind the scenes to see how funds are invested, sold and regulated. This updated edition expands coverage of the segments of the industry where growth is hottest, including hedge funds, liquid alternatives, ETFs and target date funds—and adds an introduction to derivatives. Mutual funds are a key component of financial planning for 96 million Americans. Nearly a quarter of U.S. household savings are invested in funds, which give individual investors affordable access to professional management. This book provides a detailed look at how firms in the industry: Invest those savings in stocks and bonds Evaluate the risks and returns of funds Distribute funds directly to consumers or through financial advisors or retirement plans Handle the complex operational and regulatory requirements of mutual funds Vote proxies at the annual meetings of public companies Expand their operations across borders Along the way, the authors describe the latest trends and discuss the biggest controversies—all in straightforward and engaging prose. The Fund Industry is the essential guide to navigating the mutual fund industry.
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:
Book Synopsis Liability of Asset Managers by : Danny Busch
Download or read book Liability of Asset Managers written by Danny Busch and published by OUP Oxford. This book was released on 2012-03-08 with total page 3328 pages. Available in PDF, EPUB and Kindle. Book excerpt: Given the international nature of the asset management industry, lawyers representing investors, asset managers, and regulators are often confronted with asset management agreements governed by foreign law. This book provides the necessary points of law and practice in the leading jurisdictions allowing lawyers to identify the main pitfalls concerning the foreign law in question. This book is the only comparative analysis of the law of asset manager liability in the major European jurisdictions, the United States, and Canada, each written by specialists from the relevant jurisdiction. This is a much-needed guide on the disparate regulation of asset manager liability in these countries highlighting the absence of uniformity in this area of law despite the implementation of MiFID in Europe. The section on European law provides an overview of the regulation in this field regionally and provides the context in which the national chapters explore the regulation at country level. The comparative evaluation at the end of the book provides a thoughtful assessment of the impact of regulatory frameworks on asset managers private law duties and liabilities. The Introduction situates the country-by-country material within the broader context of questions about regulatory design and effectiveness.
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.
Author :Office of the Comptroller of Currency Publisher :Createspace Independent Publishing Platform ISBN 13 :9781502817891 Total Pages :114 pages Book Rating :4.8/5 (178 download)
Book Synopsis Asset Management Operations and Controls by : Office of the Comptroller of Currency
Download or read book Asset Management Operations and Controls written by Office of the Comptroller of Currency and published by Createspace Independent Publishing Platform. This book was released on 2014-10-23 with total page 114 pages. Available in PDF, EPUB and Kindle. Book excerpt: This booklet provides guidance applicable to core Asset Management operations functions and to internal controls and processes used by national banks to manage risks associated with Asset Management activities.
Book Synopsis U.S. Regulation of the International Securities and Derivatives Markets by :
Download or read book U.S. Regulation of the International Securities and Derivatives Markets written by and published by Aspen Law & Business Publishers. This book was released on 2002 with total page 254 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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:
Author :United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs Publisher : ISBN 13 : Total Pages :120 pages Book Rating :4.3/5 ( download)
Book Synopsis Regulation of the Hedge Fund Industry by : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Download or read book Regulation of the Hedge Fund Industry written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs and published by . This book was released on 2006 with total page 120 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis The Regulation of Money Managers by : Tamar Frankel
Download or read book The Regulation of Money Managers written by Tamar Frankel and published by Aspen Publishers. This book was released on 1995-12-31 with total page 2800 pages. Available in PDF, EPUB and Kindle. Book excerpt: Widely regarded as the most comprehensive and penetrating analysis of the regulation surrounding both investment advisers and investment companies, The Regulation of Money Managers, Second Edition provides unexcelled guidance for legal counsel in the field. It keeps you up-to-date with all significant new and proposed SEC rules, no-action letters, and interpretive releases, as well as important cases and relevant regulation from other agencies. Among the crucial topics and developments covered, you'll find: Insider trading -- What constitutes financial advice in the employer/employee relationship -- The Philanthropy Protection Act -- Condit ions under which foreign investment companies may offer their securities in the United States -- Interest rate deregulation -- The Agreement in Principle between federal banking regulators and NASD Discount brokerage services -- Ownership of savings and loan associations by bank holding companies -- Money market funds -- How to avoid Federal Reserve Board jurisdiction -- Custody of clients' funds -- Stock appreciation rights. If your practice involves the management of investments or investment companies, you'll find everything you need in this virtually inexhaustible resource.
Author :United States. Advisory Committee on Investment Management Services for Individual Investors Publisher : ISBN 13 : Total Pages :96 pages Book Rating :4.3/5 (243 download)
Book Synopsis Small Account Investment Management Services: Recommendations for Clearer Policies and Guidelines by : United States. Advisory Committee on Investment Management Services for Individual Investors
Download or read book Small Account Investment Management Services: Recommendations for Clearer Policies and Guidelines written by United States. Advisory Committee on Investment Management Services for Individual Investors and published by . This book was released on 1973 with total page 96 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment Publisher : ISBN 13 : Total Pages :108 pages Book Rating :4.:/5 (327 download)
Book Synopsis Regulating Hedge Funds and Other Private Investment Pools by : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment
Download or read book Regulating Hedge Funds and Other Private Investment Pools written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment and published by . This book was released on 2010 with total page 108 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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.
Book Synopsis The American Political Economy by : Jacob S. Hacker
Download or read book The American Political Economy written by Jacob S. Hacker and published by Cambridge University Press. This book was released on 2021-11-11 with total page 487 pages. Available in PDF, EPUB and Kindle. Book excerpt: Drawing together leading scholars, the book provides a revealing new map of the US political economy in cross-national perspective.
Author :United States. Office of the Comptroller of the Currency. Multinational Banking Division Publisher : ISBN 13 : Total Pages :364 pages Book Rating :4.A/5 ( download)
Book Synopsis Comptroller's Handbook for Fiduciary Activities by : United States. Office of the Comptroller of the Currency. Multinational Banking Division
Download or read book Comptroller's Handbook for Fiduciary Activities written by United States. Office of the Comptroller of the Currency. Multinational Banking Division and published by . This book was released on 1990 with total page 364 pages. Available in PDF, EPUB and Kindle. Book excerpt:
