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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: 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: Tamar Frankel
Publisher:
ISBN: 9780316291545
Category :
Languages : en
Pages :
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Book Description
Author: Tamar Frankel
Publisher: Aspen Publishers
ISBN: 9780316291903
Category : Law
Languages : en
Pages : 2800
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Book Description
Widely regarded as the most comprehensive and penetrating analysis of the regulation surrounding both investment advisers and investment companies, The Regulation of Money Managers, Second Edition provides unexcelled guidance for legal counsel in the field. It keeps you up-to-date with all significant new and proposed SEC rules, no-action letters, and interpretive releases, as well as important cases and relevant regulation from other agencies. Among the crucial topics and developments covered, you'll find: Insider trading -- What constitutes financial advice in the employer/employee relationship -- The Philanthropy Protection Act -- Condit ions under which foreign investment companies may offer their securities in the United States -- Interest rate deregulation -- The Agreement in Principle between federal banking regulators and NASD Discount brokerage services -- Ownership of savings and loan associations by bank holding companies -- Money market funds -- How to avoid Federal Reserve Board jurisdiction -- Custody of clients' funds -- Stock appreciation rights. If your practice involves the management of investments or investment companies, you'll find everything you need in this virtually inexhaustible resource.
Author: Tamar Frankel
Publisher:
ISBN: 9781454870678
Category : Investment advisors
Languages : en
Pages : 0
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Book Description
Author: Tamar Frankel
Publisher: Aspen Publishers
ISBN: 9780316291941
Category :
Languages : en
Pages :
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Book Description
Author: Tamar Frankel
Publisher:
ISBN: 9780316292030
Category :
Languages : en
Pages : 0
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Book Description
Author: Tamar Frankel
Publisher: Aspen Publishers
ISBN: 9780735518452
Category : Investment advisors
Languages : en
Pages : 4330
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Book Description
Widely regarded as the most comprehensive and penetrating analysis of the regulation surrounding investment advisers and companies, The Regulation of Money Managers, Second Edition provides unsurpassed guidance for legal counsel in the field. Newly revised and now in a looseleaf format, The Regulation of Money Managers, Second Edition keeps you up-to-date with all significant new and proposed SEC rules, no-action letters, and interpretive releases, as well as important cases and relevant regulation from other agencies. Among the crucial topics and developments covered, you'll find: - Insider trading - What constitutes "financial advice" in the employer/employee relationship - The Sarbanes-Oxley Act - The structure and organization of investment companies - The Gramm-Leach-Bliley Act of 1999 - The U.S.A. Patriot Act - Conditions under which foreign investment companies may offer their securities in the United States - Governance issues - The SEC's rules and regulations implementing legislation that divided the responsibilities of regulating advisers among the states and the commission - Discount brokerage services - Internet trading issues - Conflicts of interest - Money market funds - How to avoid Federal Reserve Board jurisdiction - Custody of clients' funds - Stock appreciation rights if your practice involves the management of investments or investment companies, you'll find everything you need in this virtually inexhaustible resource.
Author: Clifford E. Kirsch
Publisher:
ISBN: 9781402407710
Category : Business & Economics
Languages : en
Pages : 0
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Book Description
Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.
Author: Tamar Frankel
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 564
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Book Description
Author: Tamar Frankel
Publisher:
ISBN: 9780735518957
Category : Investment advisors
Languages : en
Pages :
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Book Description
