Regulation of Money Managers
Regulation of Money Managers

Author: Tamar Frankel

Publisher: Wolters Kluwer

Published: 2015-09-16

Total Pages: 4826

ISBN-13: 145487063X

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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.

Advising High-technology Companies
Advising High-technology Companies

Author: Clifford E. Kirsch

Publisher: Harper Collins

Published: 2004

Total Pages: 1330

ISBN-13: 9781402403965

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Offering in-depth coverage of bedrock immigration legislation, the latest federal standards, and pivotal court decisions, PLI's Immigration Fundamentals: A Guide to Law and Practice gives you the legal and procedural knowledge to work more efficiently and effectively with employers, aliens, nonimmigrants, refugees, naturalized citizens, and government officials.

Research Handbook on the Regulation of Mutual Funds
Research Handbook on the Regulation of Mutual Funds

Author: William A. Birdthistle

Publisher: Edward Elgar Publishing

Published: 2018-10-26

Total Pages: 477

ISBN-13: 1784715050

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With fifty trillion in worldwide assets, the growth of mutual funds is a truly global phenomenon and deserves a broad international analysis. Local political economies and legal regimes create different regulatory preferences for the oversight of these funds, and academics, public officials and legal practitioners wishing to understand the global investing environment will require a keen awareness of these international differences. The contributors, leading scholars in the field of investment law from around the world, provide a current legal analysis of funds from a variety of perspectives and using an array of methodologies that consider the large fundamental questions governing the role and regulation of investment funds. This volume also explores the identity and behavior of investors as well as issues surrounding less orthodox funds, such as money market funds, ETFs, and private funds. This Handbook will provide legal and financial scholars, academics, lawyers and regulators with a vital tool for working with mutual funds. Contributors include: W.A. Birdthistle, M. Bullard, I.H-Y Chiu, B. Clarke, Q. Curtis, D.A. DeMott, J. Fanto, J.E. Fisch, P. Hanrahan, L.P.Q. Johnson, W.A. Kaal, A.K. Krug, A.B. Laby, J.D. Morley, A. Palmiter, I. Ramsay, E.D. Roiter, M. White, D.A. Zetzsche

Mutual Fund Regulation
Mutual Fund Regulation

Author: Clifford E. Kirsch

Publisher:

Published: 2005-01-26

Total Pages: 0

ISBN-13: 9781402405723

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The complexity of the laws governing mutual funds has grown almost as rapidly as this multitrillion-dollar industry. The new Mutual Fund Regulation distills and clarifies these intricate federal and state guidelines like no other book on the market today, enabling you and your clients to meet all requirements, exploit legal exemptions, and avoid liabilities. Mutual Fund Regulation gives you the practical, plain-English insight you need to comply quickly and easily with all the duties, obligations, restrictions, and prohibitions expressed in the Investment Company Act of 1940, Investment Advisers Act, Securities Act of 1933, and Securities Exchange Act of 1934, as well as SEC mandates, NASD conduct rules, court decisions, and state laws. Written by a team of top corporate and securities attorneys for every industry player, Mutual Fund Regulation's step-by-step guidance helps you:. Satisfy all prospectus disclosure and delivery requirements.. Exploit safe harbors, exemptive rules, and other forms of relief.. Craft solid advisory, distribution, custodian, and other types of contracts.. Structure problem-free compensation arrangements.. Use SEC-approved methods of valuating mutual fund shares.

Mutual Fund Regulation
Mutual Fund Regulation

Author: Clifford E. Kirsch

Publisher: Practising Law Institute

Published: 2005-01-01

Total Pages: 1710

ISBN-13: 9781402401305

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Mutual Fund Regulation provides you with the comprehensive and current coverage that enables you to comply more cost-effectively with these many standards. Mutual Fund Regulation helps you to establish effective compliance policies and procedures that make your regulatory burdens easier to fulfill; meet onerous prospectus disclosure and delivery requirements more easily; draft the full range of relevant documents; satisfy rules for mutual fund marketing materials, including online standards; and qualify for statutory ?safe harbors? that free you from certain regulatory demands.

U.S. Regulation of Hedge Funds
U.S. Regulation of Hedge Funds

Author: Douglas L. Hammer

Publisher: American Bar Association

Published: 2005

Total Pages: 398

ISBN-13: 9781590312971

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This authoritative resource surveys federal securities laws and rules applicable to the organization, capitalization and operations of private U.S. domestic investment partnerships that invest and trade mainly in the public securities markets. Includes a detailed index.

Financial Crisis of 2008 in Fixed Income Markets
Financial Crisis of 2008 in Fixed Income Markets

Author: Gerald P. Dwyer

Publisher: DIANE Publishing

Published: 2010-08

Total Pages: 52

ISBN-13: 1437928706

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Explores how a relatively small amount of heterogeneous securities created turmoil in financial markets in much of the world in 2007 and 2008. The drivers of the financial turmoil and the financial crisis of 2008 were heterogeneous securities that were hard to value. These securities created concerns about counterparty risk and ultimately created substantial uncertainty. The problems spread in ways that were hard to see in advance. The run on prime money market funds in September 2008 and the effects on commercial paper were an important aspect of the crisis itself and are discussed in some detail. Charts and tables.

The Economics of Mutual Fund Markets: Competition Versus Regulation
The Economics of Mutual Fund Markets: Competition Versus Regulation

Author: William Baumol

Publisher: Springer Science & Business Media

Published: 2012-12-06

Total Pages: 250

ISBN-13: 9400921853

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The original impetus for this research was provided several years ago by a request to assist Counsel for Fidelity Management and Research Corporation in analyzing the mutual fund industry, with particular emphasis on money market mutual funds. We were asked to focus our efforts on the mechanism by which the advisory fees of mutual funds are determined. This request arose out of litigation that challenged the level of advisory fees charged to the shareholders of the Fidelity Cash Reserve Fund. Subsequently, we were asked to provide similar assistance to Counsel for T. Rowe Price Associates regarding the fees charged to shareholders of their Prime Reserve Fund. 1940, advisers of Under the Investment Company Act of mutual funds have a fiduciary duty with respect to the level of fees they may charge a fund's shareholders. Since the passage of the Investment Company Act, there have been numerous lawsuits brought by shareholders alleging that advisory fees were excessive. In these lawsuits, the courts have failed to provide a set of standards for determining when such fees are excessive. Instead, they have relied on arbitrary and frequently ill-defined criteria for jUdging the reasonableness of fees. This failure to apply economic-based tests for evaluating the fee structure of mutual funds provided the motivation for the present book, which undertakes a comprehensive analysis of the economics of the mutual fund industry.