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Author: Jack W. Murphy
Publisher:
ISBN: 9780414031968
Category : Investment advisors
Languages : en
Pages :
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Book Description
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: Jack W. Murphy
Publisher:
ISBN: 9780414031968
Category : Investment advisors
Languages : en
Pages :
Get Book
Book Description
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. Securities and Exchange Commission. Division of Investment Management
Publisher: Securities and Exchange Commission
ISBN:
Category : Business & Economics
Languages : en
Pages : 580
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Book Description
Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher:
ISBN:
Category : Insider trading in securities
Languages : en
Pages : 66
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Book Description
Author: Robert Pozen
Publisher: John Wiley & Sons
ISBN: 1118929942
Category : Business & Economics
Languages : en
Pages : 549
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Book Description
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:
Category : Investments
Languages : en
Pages : 586
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Book Description
Author: Danny Busch
Publisher: OUP Oxford
ISBN: 0191630977
Category : Law
Languages : en
Pages : 3328
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Book Description
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.
Author: Tamar Frankel
Publisher: Wolters Kluwer
ISBN: 145487063X
Category : Law
Languages : en
Pages : 4826
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Book Description
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:
Publisher: Aspen Law & Business Publishers
ISBN:
Category : Banks and banking, Foreign
Languages : en
Pages : 254
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Book Description
Author: United States. Securities and Exchange Commission. Division of Investment Management Regulation
Publisher:
ISBN:
Category : Mutual funds
Languages : en
Pages : 224
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Book Description
Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 120
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Book Description
