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Author: Harvey E. Bines
Publisher: Wolters Kluwer Law & Business
ISBN: 9781454845232
Category : Law
Languages : en
Pages : 0
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Book Description
Investment Management Law and Regulation, Third Edition is the only up-to-date volume to offer a comprehensive examination of the field of investment management law, covering everything from financial theory and legal theory to the various aspects of hands-on fund management. It's the only resource of its kind that: Identifies and explains the financial theories that control the development of investment management law across management activities Gives critical judicial, legislative, and regulatory history that makes recent law and regulation more comprehensible Covers all areas of regulation governing the activities of investment managers, including marketing, suitability, advisory contacts, fees, exculpation and indemnification, performance, fiduciary obligations, conflicts of interest, best execution Provides the practical tools that help predict more effectively how regulators will respond to new marketplace developments and products Integrates investment management law and regulation for all institutional investment managers This classic treatise calls attention to the duty of reasonable care, the duty of loyalty and the public duty of fiduciaries to the marketplace. Grounded in the idea that prudent investing is to be defined by professional practices accepted as appropriate at the time of investment by the management, thereby permitting such practices to adapt to changing conditions and insights, the field of investment management law and regulation has at its center the goal of a common standard of care for investment. Now in its Third Edition, this definitive guide to investment management law and regulation helps you to profitably adapt to today's new and changing conditions and anticipate tomorrow's regulatory response. Here are just a few of the reasons why Investment Management Law and Regulation, Third Edition will be so valuable to you: Explains and analyzes all the ins and outs of the law, clarifies the complexities, answers your questions, points out pitfalls and helps you avoid them Covers the entire field in one volume, saves you valuable time and effort in finding information and searching through stacks of references Ensures compliance with all relevant regulations, makes sure nothing is overlooked, protects you against costly mistakes Updates you on the latest important changes, tells you what is happening now and what is likely to happen in the future Whether you are a manager, broker, banker, or legal counsel, a seasoned professional or just starting out, this treatise will quickly become your most trusted guide through the intricacies of this complex, critical, and closely scrutinized area.
Author: Harvey E. Bines
Publisher: Wolters Kluwer Law & Business
ISBN: 9781454845232
Category : Law
Languages : en
Pages : 0
Get Book
Book Description
Investment Management Law and Regulation, Third Edition is the only up-to-date volume to offer a comprehensive examination of the field of investment management law, covering everything from financial theory and legal theory to the various aspects of hands-on fund management. It's the only resource of its kind that: Identifies and explains the financial theories that control the development of investment management law across management activities Gives critical judicial, legislative, and regulatory history that makes recent law and regulation more comprehensible Covers all areas of regulation governing the activities of investment managers, including marketing, suitability, advisory contacts, fees, exculpation and indemnification, performance, fiduciary obligations, conflicts of interest, best execution Provides the practical tools that help predict more effectively how regulators will respond to new marketplace developments and products Integrates investment management law and regulation for all institutional investment managers This classic treatise calls attention to the duty of reasonable care, the duty of loyalty and the public duty of fiduciaries to the marketplace. Grounded in the idea that prudent investing is to be defined by professional practices accepted as appropriate at the time of investment by the management, thereby permitting such practices to adapt to changing conditions and insights, the field of investment management law and regulation has at its center the goal of a common standard of care for investment. Now in its Third Edition, this definitive guide to investment management law and regulation helps you to profitably adapt to today's new and changing conditions and anticipate tomorrow's regulatory response. Here are just a few of the reasons why Investment Management Law and Regulation, Third Edition will be so valuable to you: Explains and analyzes all the ins and outs of the law, clarifies the complexities, answers your questions, points out pitfalls and helps you avoid them Covers the entire field in one volume, saves you valuable time and effort in finding information and searching through stacks of references Ensures compliance with all relevant regulations, makes sure nothing is overlooked, protects you against costly mistakes Updates you on the latest important changes, tells you what is happening now and what is likely to happen in the future Whether you are a manager, broker, banker, or legal counsel, a seasoned professional or just starting out, this treatise will quickly become your most trusted guide through the intricacies of this complex, critical, and closely scrutinized area.
Author: Harvey E. Bines
Publisher: Wolters Kluwer
ISBN: 0735530483
Category : Law
Languages : en
Pages : 968
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Book Description
In its First Edition, this classic treatise called attention to the duty of reasonable care, the duty of loyalty and the public duty of fiduciaries to the marketplace. Grounded in the idea that prudent investing is to be defined by professional practices accepted as appropriate at the time of investment by the management, thereby permitting such practices to adapt to changing conditions and insights, the field of investment management law and regulation has at its center the goal of a common standard of care for investment.Now in its Second Edition, this definitive guide to investment management law and regulation helps you to profitably adapt to today's new and changing conditions and anticipate tomorrow's regulatory response.Here are just a few of the reasons why Investment Management Law and Regulation will be so valuable to you:Explains and analyzes all the ins and outs of the law, clarifies the complexities, answers your questions, points out pitfalls and helps you avoid themCovers the entire field in one volume, saves you valuable time and effort in finding information and searching through stacks of referencesEnsures compliance with all relevant regulations, makes sure nothing is overlooked, protects you against costly mistakesUpdates you on the latest important changes, tells you what is happening now and what is likely to happen in the future Investment Management Law and Regulation is the only up-to-date volume to offer a comprehensive examination of the field of investment management law, covering everything from financial theory and legal theory to the various aspects of hands-on fund management. It's the only resource of its kind that:Identifies and explains the financial theories that control the development of investment management law across management activitiesGives critical judicial, legislative, and regulatory history that makes recent law and regulation more comprehensibleCovers all areas of regulation governing the activities of investment managers, including marketing, suitability, advisory contacts, fees, exculpation and indemnification, performance, fiduciary obligations, conflicts of interest, best executionProvides the practical tools that help predict more effectively how regulators will respond to new marketplace developments and productsIntegrates investment management law and regulation for all institutional investment managersAnd more Whether you are a manager, broker, banker, or legal counsel, a seasoned professional or just starting out, this treatise will quickly become your most trusted guide through the intricacies of this complex, critical, and closely scrutinized area
Author: Joseph A. Franco
Publisher:
ISBN: 9781611637175
Category :
Languages : en
Pages : 684
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Book Description
Author: Dick Frase
Publisher:
ISBN: 9780414054905
Category :
Languages : en
Pages :
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Book Description
Author: Jay-Hyung Kim
Publisher: World Bank Publications
ISBN: 1464815291
Category : Business & Economics
Languages : en
Pages : 279
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Book Description
The Public Investment Management (PIM) Reference Guide aims to convey country experiences and good international practices as a basis for decisions on how to address a country-specific PIM reform agenda. The country references are drawn largely from previous diagnostics and technical assistance reports of the World Bank. The application of country diagnostics and assessments has revealed a need to address the following issues when undertaking a country reform in PIM: • Clarification of the definition and scope of public investment and public investment management • Establishment of a sound legal, regulatory, and institutional setting for PIM, making sure it is linked to the budget process • Allocation of roles and responsibilities for key players in PIM across government • Strengthening of guidance on project preappraisal, appraisal, and selection-prioritization procedures and deepening of project appraisal methodologies • Integration of strategic planning, project appraisal-selection, and capital budgeting • Management of multiyear capital budget allocations and commitments • Efforts to address effective implementation, procurement, and monitoring of projects • Strengthening of asset management and ex post evaluation • Integration of PIM and public-private partnership (PPP) in a unified framework • Rationalization and prioritization of the existing PIM project portfolio • Development of a PIM database and information technology in the form of a PIM information system. The PIM Reference Guide does not seek to provide definitive answers or standard guidance for the common PIM issues facing countries. Nor does it seek to provide a detailed template for replication across countries: this would be impossible given the diversity of country situations. Instead, each chapter begins with an overview of the specific reform issue, lists approaches and experiences from different countries, and summarizes the references and good practices to be considered in designing country-specific reform actions.
Author: Timothy Spangler
Publisher: OUP Oxford
ISBN: 0191635235
Category : Law
Languages : en
Pages : 444
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Book Description
The new edition of The Law of Private Investment Funds offers a practical analysis of the legal and regulatory issues that arise in connection with the structuring, formation, and operation of private investment funds, including hedge funds, private equity funds, real estate funds, and other non-retail collective investment vehicles. The book provides a unique analysis of these funds on a pan-asset class basis, as well as from a US, UK, and European perspective. The themes of investor protection and fiduciary challenge are considered in the context of the various sources available for investor protection including the substantive rights and obligations under general law, and voluntary and statutory rights of regulation. The author considers the various aspects of running private investment funds against the backdrop of regulation and investor protection. Issues such as structuring and launching, and marketing private investment funds are considered in full. The author also looks at the governance challenge where limited partnerships and offshore companies are concerned. The book identifies governance as a key issue for private investment fund participants and discusses in depth several ways in which managers and fund participants can improve the governance of their funds. In addition it analyses the consequences and impact of the recent global financial crisis on private funds, and the response of the US, UK, and European regulators. The new edition includes increased coverage of best practice and industry guidelines, including the ILPA Guidelines for private equity funds, and the MFA's Best Practices for hedge funds. It also provides discussion of new regulatory regimes in the US and EU, including the Dodd Frank Act and AIFMD.
Author: Dirk A. Zetzsche
Publisher: Kluwer Law International B.V.
ISBN: 9041149953
Category : Law
Languages : en
Pages : 948
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Book Description
Apart from MiFID, the Alternative Investment Fund Managers Directive (AIFMD) may be the most important European asset management regulation of the early twenty-first century. In this in-depth analytical and critical discussion of the content and system of the directive, thirty-eight contributing authors – academics, lawyers, consultants, fund supervisors, and fund industry experts – examine the AIFMD from every angle. They cover structure, regulatory history, scope, appointment and authorization of the manager, the requirements for depositaries and prime brokers, rules on delegation, reporting requirements, transitional provisions, and the objectives stipulated in the recitals and other official documents. The challenging implications and contexts they examine include the following: – connection with systemic risk and the financial crisis; - nexus with insurance for negligent conduct; - connection with corporate governance doctrine; - risk management; - transparency; - the cross-border dimension; - liability for lost assets; - impact on alternative investment strategies, and - the nexus with the European Regulation on Long-Term Investment Funds (ELTIFR). Nine country reports, representing most of Europe’s financial centres and fund markets add a national perspective to the discussion of the European regulation. These chapters deal with the potential interactions among the AIFMD and the relevant laws and regulations of Austria, France, Germany, Italy, Luxembourg, Liechtenstein, The Netherlands, Malta and the United Kingdom. The second edition of the book continues to deliver not only the much-needed discussion of the inconsistencies and difficulties when applying the directive, but also provides guidance and potential solutions to the problems it raises. The second edition considers all new developments in the field of alternative investment funds, their managers, depositaries, and prime brokers, including, but not limited to, statements by the European Securities and Markets Authority (ESMA) and national competent authorities on the interpretation of the AIFMD, as well as new European regulation, in particular the PRIIPS Regulation, the ELTIF Regulation, the Regulation on European Venture Capital Funds (EuVeCaR), the Regulation on European Social Entrepreneurship Funds (EUSEFR), MiFID II, and UCITS V. The book will be warmly welcomed by investors and their counsel, fund managers, depositaries, asset managers, administrators, as well as regulators and academics in the field.
Author: Tamar Frankel
Publisher: Wolters Kluwer
ISBN: 145487063X
Category : Law
Languages : en
Pages : 4830
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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: Tamar Frankel
Publisher:
ISBN: 9781888215601
Category :
Languages : en
Pages : 590
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Book Description
Investment companies and investment advisory servcies have become a significant part of the financial system. They host and manage most of the retirement assets in this country and have spread their services abroad as well. This case book is designed to prepare students to practice in this area, including sensitizing students to the possible changes in money management and the legal adjustments to these changes. This book deals with the laws governing investment companies: their creation, structure, corporate governance, operations (including the distribution of shares and the management of the portfolios) and dissolution. In particular, this case book focuses on new structures that have evolved in this area, such as ETFs and money market funds. The purpose of this book is to prepare students, and lawyers who are not familiar with the subject area, to provide effective advice. In addition, it focuses on practicing in this area before the Securities and Exchange Commission.
Author: Dick Frase
Publisher:
ISBN: 9780421835702
Category : Investments
Languages : en
Pages : 413
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Book Description
This book answers the need for a practical treatment of this burgeoning area of financial services, with the emphasis on the investment management service itself as distinct from individual investment products. It focuses on the contractual and regulatory aspects of the investment manager's business, with additional information on equivalent practices in the US. * Coverage of key UK legal and regulatory issues with information on equivalent practices in the US * Provides expert commentary and background information on this growing area within financial markets * Pulls together the expertise of a range of specialists in this area
