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When Is A Mutual Fund Director Independent The Unexplored Role Of Professional Relationships Under Section 2a19 Of The Investment Company Act
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Book Synopsis When is a Mutual Fund Director Independent? The Unexplored Role of Professional Relationships Under Section 2(A)(19) of the Investment Company Act by : Larry D. Barnett
Download or read book When is a Mutual Fund Director Independent? The Unexplored Role of Professional Relationships Under Section 2(A)(19) of the Investment Company Act written by Larry D. Barnett and published by . This book was released on 2009 with total page 34 pages. Available in PDF, EPUB and Kindle. Book excerpt: An investment company that must register with the Securities and Exchange Commission is required by the Investment Company Act to have a specified percentage or number of directors who are not quot;interestedquot; in the company. To be not interested (i.e., to be independent), a director of an investment company is barred by section 2(a)(19) of the Act from inter alia having had, during the last two completed fiscal years of the company, a material business relationship or a material professional relationship with specified parties. The Commission, in interpreting section 2(a)(19), has not clearly distinguished the two types of relationships and has not focused on professional relationships apart from business relationships. The article contends that this is contrary to the intent of Congress. Accordingly, the article (i) identifies both the elements of a business relationship and the elements of a professional relationship; and (ii) reviews three no-action letters in each of which the Commission staff could have found that a proposed arrangement would have created a professional relationship for an investment company director.
Book Synopsis Fund Governance: Legal Duties of Investment Company Directors by : Robert A. Robertson
Download or read book Fund Governance: Legal Duties of Investment Company Directors written by Robert A. Robertson and published by Law Journal Press. This book was released on 2001 with total page 906 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :Federal Regulation of Securities Committee Publisher :American Bar Association ISBN 13 :9781590315101 Total Pages :144 pages Book Rating :4.3/5 (151 download)
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.
Book Synopsis Duties and Responsibilities of Directors of Mutual Funds by : Alfred Jaretzki
Download or read book Duties and Responsibilities of Directors of Mutual Funds written by Alfred Jaretzki and published by . This book was released on 1964 with total page 24 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis What Independent Directors Should 'Request' of Mutual Fund Advisers by : John A. Haslem
Download or read book What Independent Directors Should 'Request' of Mutual Fund Advisers written by John A. Haslem and published by . This book was released on 2017 with total page 23 pages. Available in PDF, EPUB and Kindle. Book excerpt: The background to this study is the failure of mutual fund independent directors to fulfill their obligations as ldquo;shareholder watchdogs,rdquo; as defined in the Investment Company Act of 1940. Normative transparency of information is fund adviser disclosure proactively ldquo;requestedrdquo; by independent directors to enable their fiduciary roles as ldquo;shareholder watchdogs.rdquo;U.S. District Judge Feess's opinion in a mutual fund case of excessive fees provides a candid assessment of independent director performance. He supports the view that directors are likely to ldquo;go alongrdquo; with mutual fund adviser plans and actions. This view suggests directors are unlikely to ldquo;requestrdquo; normative information required to serve the ldquo;primary interestsrdquo; of fund shareholders.The judge's opinion includes numerous revealing insights on the performance [poor] of independent directors. These revelations and other relevant issues in the opinion provide case-based support for independent directors to ldquo;requestrdquo; fund advisers to provide normative transparency of information for their analysis. To achieve normative transparency of information Independent directors and advisers of major funds known for shareholder stewardship must strongly, vigorously, and proactively work together to gain approval in Congress and/or the SEC. The outlook is not bright, but the goal is worthy of the challenge.
Download or read book Investment Companies written by and published by . This book was released on 1990 with total page 208 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises Publisher : ISBN 13 : Total Pages :366 pages Book Rating :4.0/5 (13 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 2003 with total page 366 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises Publisher : ISBN 13 : Total Pages :248 pages Book Rating :4.:/5 (327 download)
Book Synopsis Mutual Fund Industry Practices and Their Effect on Individual Investors by : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
Download or read book Mutual Fund Industry Practices and Their Effect on Individual Investors 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 248 pages. Available in PDF, EPUB and Kindle. Book excerpt: Distributed to some depository libraries in microfiche.
Book Synopsis The Investment Company Director by : David M. Butowsky
Download or read book The Investment Company Director written by David M. Butowsky and published by . This book was released on 1978 with total page 402 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Fund Director's Guidebook written by and published by . This book was released on 2024 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: "[This Guidebook] is intended to assist directors of investment companies registered under the Investment Company Act of 1940 (the "1940 Act") in fulfilling their responsibilities. The Guidebook should be useful to directors of mutual funds, exchange-traded funds and closed-end funds." --
Book Synopsis Uneasy Chaperone by : James M. Storey
Download or read book Uneasy Chaperone written by James M. Storey and published by . This book was released on 2007 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Responsibilities of Corporate Officers & Directors Under Federal Securities Laws by :
Download or read book Responsibilities of Corporate Officers & Directors Under Federal Securities Laws written by and published by . This book was released on 1994 with total page 202 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis The Uneasy Chaperone by : James M. Storey
Download or read book The Uneasy Chaperone written by James M. Storey and published by . This book was released on 2006-06 with total page 223 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis The Regulation of Mutual Fund Names and the Societal Role of Trust by : Larry D. Barnett
Download or read book The Regulation of Mutual Fund Names and the Societal Role of Trust written by Larry D. Barnett and published by . This book was released on 2009 with total page 38 pages. Available in PDF, EPUB and Kindle. Book excerpt: Section 35(d) of the Investment Company Act authorizes the Securities and Exchange Commission to regulate the names of investment companies that are registered with the Commission, and bars registered investment companies - the vast majority of which are mutual funds - from using names that contain words quot;that the Commission finds are materially deceptive or misleading.quot; The article relates the regulation of investment company names to the importance to society of trust. Pertinent case law under section 35(d) is reviewed, and Rule 35d-1 is discussed. The article also considers fund names that are not covered either by section 35(d) or by Rule 35d-1 - specifically, names that are quot;cutequot; or quot;catchyquot; - and suggests a possible revision of the section. The suggested revision employs a behavioral science, value-neutral approach to fund names rather than the present value-based approach.
Download or read book Mutual Funds Guide written by and published by . This book was released on 1969 with total page 2146 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Mutual Fund Investment Limitations Arising Outside of the Investment Company Act by : Kenneth R. Earley
Download or read book Mutual Fund Investment Limitations Arising Outside of the Investment Company Act written by Kenneth R. Earley and published by . This book was released on 2018 with total page 5 pages. Available in PDF, EPUB and Kindle. Book excerpt: In addition to limitations that apply to every registered investment company (Fund) under the Investment Company Act of 1940 (ICA), there are investment limitations under other federal laws and under state law, each of which is a potential trap for a Fund. This article provides guidance to Funds and their advisers to avoid the most common of these non-ICA limitations.
Book Synopsis Economic Valuation of Water Resources in Agriculture by : R. Kerry Turner
Download or read book Economic Valuation of Water Resources in Agriculture written by R. Kerry Turner and published by Food & Agriculture Org.. This book was released on 2004 with total page 208 pages. Available in PDF, EPUB and Kindle. Book excerpt: The purpose of this report is to produce a review on water resource valuation issues and techniques specifically for the appraisal and negotiation of raw (as opposed to bulk or retail) water resource allocation for agricultural development projects. The review considers raw water in naturally occurring watercourses, lakes, wetlands, soil and aquifers, taking an ecosystem function perspective at a catchment scale, and takes account of the demands from irrigated and rainfed agriculture. It is hoped that the review will have particular application to developing countries where agreed methods for reconciling competing uses are often absent, but nevertheless takes account of valuation approaches that have been made in post industrial economies.
