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Author : Alfred Jaretzki
Publisher :
ISBN 13 :
Total Pages : 24 pages
Book Rating : 4.48/5 ( download)
Download or read book Duties and Responsibilities of Directors of Mutual Funds written by Alfred Jaretzki and published by . This book was released on 1964 with total page 24 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Robert A. Robertson
Publisher : Law Journal Press
ISBN 13 : 9781588521026
Total Pages : 906 pages
Book Rating : 4.28/5 ( download)
Download or read book Fund Governance: Legal Duties of Investment Company Directors written by Robert A. Robertson and published by Law Journal Press. This book was released on 2001 with total page 906 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Federal Regulation of Securities Committee
Publisher : American Bar Association
ISBN 13 : 9781590315101
Total Pages : 144 pages
Book Rating : 4.03/5 ( download)
Download or read book Fund Director's Guidebook written by Federal Regulation of Securities Committee and published by American Bar Association. This book was released on 2006 with total page 144 pages. Available in PDF, EPUB and Kindle. Book excerpt: Written for directors of both open-end investment companies (typically referred to as mutual funds) and closed-end funds, this new Third Edition offers suggestions to assist directors in their roles and obligations. The new edition has been updated to reflect key legal developments that have emerged since the second edition appeared in 2003 including the impact of the Sarbanes-Oxley Act and initiatives undertaken by the SEC in response to the mutual funds scandals occurring in 2003 and 2004.
Author : Federal Regulation of Securities Committ
Publisher : American Bar Association
ISBN 13 : 9781634252652
Total Pages : 0 pages
Book Rating : 4.59/5 ( download)
Download or read book Fund Director's Guidebook written by Federal Regulation of Securities Committ and published by American Bar Association. This book was released on 2015 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Fund Director's Guidebook, Fourth Edition covers open-end funds (typically referred to as mutual funds), closed-end funds and exchange-traded funds. It is intended to assist directors of investment companies registered under the Investment Company Act of 1940 in fulfilling their responsibilities. Since 2006 when the third edition was published, there have been significant developments affecting funds in the wake of the 2008-2009 financial crisis and the resulting legislation, the Dodd-Frank Act. There also has been increased civil litigation involving funds and their service providers, and a more active role of the SEC and its staff in asserting securities law fund-related violations, including SEC enforcement actions against independent directors brought under the 1940 act's compliance rule. This guidebook provides directors with: an overview of the functions, responsibilities, and potential liabilities of fund directors; information about the structure and operations of the board and its relationship to the investment adviser, the distributor, and others; assistance to directors in discharging their responsibilities; suggestions as to how independent directors can best fulfill their responsibilities; and much more.
Author : David M. Butowsky
Publisher :
ISBN 13 :
Total Pages : 396 pages
Book Rating : 4.64/5 ( download)
Download or read book The Investment Company Director written by David M. Butowsky and published by . This book was released on 1978 with total page 396 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Barry J. Reiter
Publisher : CCH Canadian Limited
ISBN 13 : 9781553676935
Total Pages : 604 pages
Book Rating : 4.39/5 ( download)
Download or read book Directors' Duties in Canada written by Barry J. Reiter and published by CCH Canadian Limited. This book was released on 2006 with total page 604 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 :
Total Pages : 520 pages
Book Rating : 4.34/5 ( download)
Download or read book Accounting Series Releases written by and published by . This book was released on 1976 with total page 520 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher : American Bar Association
ISBN 13 : 9781590312964
Total Pages : 0 pages
Book Rating : 4.61/5 ( download)
Download or read book Fund Director's Guidebook written by and published by American Bar Association. This book was released on 2003 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Written for directors of open-end investment companies (typically referred to as mutual funds) and closed-end funds, this new edition offers suggestions to assist directors in their roles and obligations.
Author : Mohammed Khair Alshaleel
Publisher : Taylor & Francis
ISBN 13 : 1000634906
Total Pages : 272 pages
Book Rating : 4.07/5 ( download)
Download or read book Regulation and Governance of Mutual Funds written by Mohammed Khair Alshaleel and published by Taylor & Francis. This book was released on 2022-08-12 with total page 272 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book provides a detailed analysis of mutual fund regulations and governance in the UK from the investor protection perspective. It comprehensively describes mutual funds by their function, social utility, and legal attributes, examining the level of protection provided to retail investors under existing regulations. Mutual funds are externally managed with fund ownership separated out from their management, which carries a potential conflict of interest between the self-interests of the fund management and each fund’s investors. The book provides an in-depth analysis of this agency problem in the mutual fund industry, comparing the competing governance models in the UK and the US and the supervision of management activities. In the UK, it investigates the main governance mechanisms, including disclosure, the effectiveness of voting rights, and the role of the Financial Conduct Authority in protecting investors. It also considers the role of prudential regulations in protecting mutual fund investors, with a particular focus on risk management and mutual fund liquidity crisis. The book further investigates the impact of the withdrawal of the UK from the European Union (Brexit) on the industry and what this means for the future of the undertakings for collective investment in transferable securities (UCITS) in the UK. The concept of mutual funds is still not clearly understood, so this book will clearly define the different legal and practical aspects of mutual funds. It will be the first substantial study of mutual fund governance mechanisms under the existing mutual fund laws and regulations in the UK.
Author : Arthur B. Laby
Publisher :
ISBN 13 : 110848512X
Total Pages : 375 pages
Book Rating : 4.28/5 ( download)
Download or read book Fiduciary Obligations in Business written by Arthur B. Laby and published by . This book was released on 2021-09-09 with total page 375 pages. Available in PDF, EPUB and Kindle. Book excerpt: Leading scholars analyze key issues in fiduciary duties in business―one of the most salient applications of fiduciary law and theory.
