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Author: Tamar Frankel
Publisher:
ISBN: 9781888215021
Category : Investment advisors
Languages : en
Pages : 605
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Book Description
A teaching book covering the Investment Company Act of 1940 and Investment Advisers Act of 1940.
Author: Tamar Frankel
Publisher:
ISBN: 9781888215021
Category : Investment advisors
Languages : en
Pages : 605
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Book Description
A teaching book covering the Investment Company Act of 1940 and Investment Advisers Act of 1940.
Author: Tamar Frankel
Publisher:
ISBN: 9781888215144
Category : Investment advisors
Languages : en
Pages : 629
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Book Description
Investment companies have become an important part of the financial system. This case book is designed to familiarize students with the special laws governing investment companies: their creation, structure, corporate governance, operations (including the distribution of shares and the management of the portfolios), dissolution and, time permitting, taxation. In particular, the case book focuses on the Investment Company Act of 1940 and on the practice in this area before the Securities and Exchange Commission.
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: Joseph A. Franco
Publisher:
ISBN: 9781611637175
Category :
Languages : en
Pages : 684
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Book Description
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: 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: 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: Dick Frase
Publisher:
ISBN: 9780414054905
Category :
Languages : en
Pages :
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Book Description
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: 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
