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Author : Ross Cogan
Publisher :
ISBN 13 : 9780855143657
Total Pages : 0 pages
Book Rating : 4.1/5 (436 download)
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:
Author : Tamar Frankel
Publisher : Wolters Kluwer
ISBN 13 : 145487063X
Total Pages : 4826 pages
Book Rating : 4.4/5 (548 download)
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 : Lightbulb Press
Publisher :
ISBN 13 : 9781933569215
Total Pages : pages
Book Rating : 4.5/5 (692 download)
Download or read book Guide to Clearance & Settlement written by Lightbulb Press and published by . This book was released on 2021-10-20 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: An in-depth look at DTCC, including its role in the capital markets, its structure, and it's offerings and services.
Author :
Publisher :
ISBN 13 :
Total Pages : 2632 pages
Book Rating : 4.3/5 (555 download)
Download or read book Directory of Pension Funds and Their Investment Managers written by and published by . This book was released on 2009 with total page 2632 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)
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.
Author : Lee Gremillion
Publisher : John Wiley & Sons
ISBN 13 : 1118428722
Total Pages : 295 pages
Book Rating : 4.1/5 (184 download)
Download or read book Mutual Fund Industry Handbook written by Lee Gremillion and published by John Wiley & Sons. This book was released on 2012-06-22 with total page 295 pages. Available in PDF, EPUB and Kindle. Book excerpt: "The Mutual Fund Industry Handbook is a remarkably important work . . . I am profoundly impressed by the broad and comprehensive sweep of information and knowledge that this book makes available to industry participants, college and business school students, and anyone else with a serious interest in this industry." -- From the Foreword by John C. Bogle President, Bogle Financial Markets Research Center Founder and former chief executive, The Vanguard Group A Foreword by John C. Bogle, founder of The Vanguard Group and one of the most respected leaders in the mutual fund industry, sets the stage for this authoritative book that explains the complexities of the phenomenal industry in simple terms. Investors like the fact that mutual funds offer professional management, easy diversification, liquidity, convenience, a wide range of investment choices, and regulatory protection. Mutual Fund Industry Handbook touches on all of those features and focuses on the diverse functions performed in the day-to-day operations of the mutual fund industry. You'll learn about: Front-office functions-analysis, buying, and selling. Back-office functions, including settlement, custody, accounting, and reporting. Commission structures-front-end loads, back-end loads, or level loads. The various fund categories used by the Investment Company Institute, Morningstar, and Lipper. The roles played by fund managers, investment advisors, custodial banks, distributors, transfer agents, and other third-party service providers. If you want a definitive reference on the mutual fund industry, this is the book for you.
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)
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:
Author : C. Ronald Sprecher
Publisher :
ISBN 13 :
Total Pages : 508 pages
Book Rating : 4.:/5 (319 download)
Download or read book Introduction to Investment Management written by C. Ronald Sprecher and published by . This book was released on 1975 with total page 508 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Tamar Frankel
Publisher :
ISBN 13 : 9781454870678
Total Pages : 0 pages
Book Rating : 4.8/5 (76 download)
Download or read book The Regulation of Money Managers written by Tamar Frankel and published by . This book was released on with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : John Haslem
Publisher : John Wiley & Sons
ISBN 13 : 1405142030
Total Pages : 592 pages
Book Rating : 4.4/5 (51 download)
Download or read book Mutual Funds written by John Haslem and published by John Wiley & Sons. This book was released on 2009-02-09 with total page 592 pages. Available in PDF, EPUB and Kindle. Book excerpt: This authoritative book enables readers to evaluate the variousperformance and risk attributes of mutual funds, while also servingas a comprehensive resource for students, academics, and generalinvestors alike. Avoiding the less useful descriptive approach tofund selection, this book employs a balanced approach includingboth technique and application. The chapters combine clearsummaries of existing research with practical guidelines for mutualfund analysis. Enables readers to analyze mutual funds by evaluating a fund'svarious performance and risk attributes. Includes templates, which provide an efficient, sound approachto fund analysis, interpretation of results, buy/sell decisions,and the timing of decisions. Combines clear summaries of existing research with practicalguidelines for mutual fund analysis.
Author : David M. Smith
Publisher : John Wiley & Sons
ISBN 13 : 1118148762
Total Pages : 418 pages
Book Rating : 4.1/5 (181 download)
Download or read book Institutional Money Management written by David M. Smith and published by John Wiley & Sons. This book was released on 2011-10-27 with total page 418 pages. Available in PDF, EPUB and Kindle. Book excerpt: An informative look at institutional investment management methods and practice The policies, practices, and decisions of institutional investment managers worldwide affect the economic health of not only the institutions themselves, but of countless individual clients as well. Overall, this area of finance has great impact on the capital markets. Filled with in-depth insights and practical advice, Institutional Money Management is an important basis of knowledge regarding both the theory and practice of this ever-evolving area of finance. Part of the Robert W. Kolb Series in Finance, this book on institutional investment management showcases contributed chapters from professional and academic experts in banking, insurance companies, mutual funds, pension funds, and endowments. Along the way, issues covered included everything from the role of institutional investors within the financial system and the structures that have emerged and evolved to industry standards of ethical practice and investment performance presentation. Provides a detailed examination of the objectives, constraints, methods, and stakeholders for the dominant types of institutional investors Focuses on the portfolio management strategies and techniques used by institutional investors Contains contributed chapters from numerous thought-leaders in the field of finance The practice of institutional investment management presents a diverse set of challenges. But with this book as your guide, you'll gain a better understanding of how you can overcome these challenges and manage your portfolio more effectively.
Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher :
ISBN 13 :
Total Pages : 1132 pages
Book Rating : 4.:/5 (327 download)
Download or read book Review of Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs and published by . This book was released on 2004 with total page 1132 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Mohammed Khair Alshaleel
Publisher : Taylor & Francis
ISBN 13 : 1000634906
Total Pages : 272 pages
Book Rating : 4.0/5 (6 download)
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.
Author : United States. General Accounting Office
Publisher :
ISBN 13 :
Total Pages : 134 pages
Book Rating : 4.F/5 ( download)
Download or read book Mutual Fund Fees written by United States. General Accounting Office and published by . This book was released on 2000 with total page 134 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Angela A. Hung
Publisher : Rand Corporation
ISBN 13 : 0833045016
Total Pages : 151 pages
Book Rating : 4.8/5 (33 download)
Download or read book Investor and Industry Perspectives on Investment Advisers and Broker-Dealers written by Angela A. Hung and published by Rand Corporation. This book was released on 2008-03-12 with total page 151 pages. Available in PDF, EPUB and Kindle. Book excerpt: In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investment adviser provides advice to others regarding securities. Different laws regulate each type of professional, but boundaries have blurred. This report examines current business practices and investor understanding of each type.
Author : Robert Pozen
Publisher : John Wiley & Sons
ISBN 13 : 1118929942
Total Pages : 549 pages
Book Rating : 4.1/5 (189 download)
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 :
Publisher : DIANE Publishing
ISBN 13 : 1428972307
Total Pages : 132 pages
Book Rating : 4.4/5 (289 download)
Download or read book Mutual fund fees : additional disclosure could encourage price competition : report to congressional requesters written by and published by DIANE Publishing. This book was released on with total page 132 pages. Available in PDF, EPUB and Kindle. Book excerpt:
