Investment Company Act Release

Investment Company Act Release PDF Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Mutual funds
Languages : en
Pages : 1004

Get Book Here

Book Description

Investment Company Act Release

Investment Company Act Release PDF Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Mutual funds
Languages : en
Pages : 1004

Get Book Here

Book Description


Mutual Fund Amendments

Mutual Fund Amendments PDF Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance
Publisher:
ISBN:
Category : Mutual funds
Languages : en
Pages : 1004

Get Book Here

Book Description


Model Rules of Professional Conduct

Model Rules of Professional Conduct PDF Author: American Bar Association. House of Delegates
Publisher: American Bar Association
ISBN: 9781590318737
Category : Law
Languages : en
Pages : 216

Get Book Here

Book Description
The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.

Taxmann's Analysis | Amended Mutual Fund Norms – Strengthening Transparency, Governance, and Investor Protection in MF Industry

Taxmann's Analysis | Amended Mutual Fund Norms – Strengthening Transparency, Governance, and Investor Protection in MF Industry PDF Author: Taxmann
Publisher: Taxmann Publications Private Limited
ISBN:
Category : Law
Languages : en
Pages : 15

Get Book Here

Book Description
The Securities and Exchange Board of India (SEBI) plays a crucial role in regulating and supervising the securities market in the country. SEBI frequently introduces amendments to its regulations in its continuous efforts to enhance transparency, protect investors' interests, and promote the healthy functioning of the mutual fund industry. The SEBI vide. Notification No. SEBI/LAD-NRO/GN/2023/134, dated June 26, 2023, has introduced amendments to the SEBI (Mutual Funds) Regulations, 1996. The key amendment includes: ‣ Introduction of new definitions of 'Liquid Net Worth' and 'Net Asset Value' ‣ Introduction of new meeting requirement for the BODs of trustee companies and asset management companies, including their committees; ‣ Revised Eligibility Criteria for Sponsors; redefines the meaning of 'soundtrack record' etc. This article analyses the key amendments issued by SEBI and examines their potential impact on the market.

The Fundamental Principles of Financial Regulation

The Fundamental Principles of Financial Regulation PDF Author: Charles Albert Eric Goodhart
Publisher: Centre for Economic Policy Research
ISBN:
Category : Business & Economics
Languages : en
Pages : 144

Get Book Here

Book Description
Analytical background -- Nature of systemic risk -- Who should be regulated (by whom) -- Counter-cyclical regulation -- Regulation of liquidity and maturity mismatches -- Other regulatory issues -- The structure of regulation -- Conclusions -- Appendix : the boundary problem in financial regulation -- Discussion and roundtables.

Investment Company Amendments Act of 1969

Investment Company Amendments Act of 1969 PDF Author: United States. Congress. Senate. Committee on Banking and Currency
Publisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 444

Get Book Here

Book Description


Investment Company Amendments Act of 1969, Hearings Before ..., 91-1 on S.34 and S.296 ..., April 15, 17, and 18, 1969

Investment Company Amendments Act of 1969, Hearings Before ..., 91-1 on S.34 and S.296 ..., April 15, 17, and 18, 1969 PDF Author: United States. Congress. Senate. Banking and Currency Committee
Publisher:
ISBN:
Category :
Languages : en
Pages : 468

Get Book Here

Book Description


Congressional Record

Congressional Record PDF Author: United States. Congress
Publisher:
ISBN:
Category : Law
Languages : en
Pages : 1452

Get Book Here

Book Description
The Congressional Record is the official record of the proceedings and debates of the United States Congress. It is published daily when Congress is in session. The Congressional Record began publication in 1873. Debates for sessions prior to 1873 are recorded in The Debates and Proceedings in the Congress of the United States (1789-1824), the Register of Debates in Congress (1824-1837), and the Congressional Globe (1833-1873)

Private Equity Funds

Private Equity Funds PDF Author: James M. Schell
Publisher: Law Journal Press
ISBN: 9781588520883
Category : Business & Economics
Languages : en
Pages : 864

Get Book Here

Book Description
"The best guide to private equity funds. Insight and explanations for both fund sponsors and investors. The gold standard." --Andrew Zalasin, General Partner and CFO: RRE Ventures Best Practices for Organizing and Managing a Fund With nearly $7 trillion invested in more than 20,000 funds, investor interest in the private equity industry has returned, despite the economic turmoil of recent years. Still, guidance about the organization and administration of these funds is tough to find. This 1,400+ page resource, will equip corporate lawyers, investment professionals, and tax practitioners and with best practices to manage these funds effectively. Private Equity Funds: Business Structure and Operations covers a wide range of important issues, such as: the key economic differences between various types of funds; structuring the private equity fund to meet economic expectations and investment goals; securing maximum tax benefits for the sponsor of the fund; duties of the fund's General Partner and Investment Advisor; the major regulatory issues affecting the private equity fund; and much more. Private Equity Funds: Business Structure and Operations reflects the aftermath of the financial crisis of 2007 to 2009. The authors also focus on cyber risk and the compliance obligations of investment advisers.

Mutual Fund Legislation of 1967

Mutual Fund Legislation of 1967 PDF Author: United States. Congress. Senate. Committee on Banking and Currency
Publisher:
ISBN:
Category : Mutual funds
Languages : en
Pages : 152

Get Book Here

Book Description
Pt. 1-2: Considers S. 1659, to amend the Investment Company Act and the Investment Advisers Act to increase control over operations of mutual funds and their investment advisers.