The Regulation Of Money Managers

Author : Tamar Frankel
Publisher : Wolters Kluwer
ISBN 13 : 145487063X
Total Pages : 4826 pages
Book Rating : 4.30/5 ( download)

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Download or read book Regulation of Money Managers written by Tamar Frankel and published by Wolters Kluwer. This book was released on 2015-09-16 with total page 4826 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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 13 :
Total Pages : 248 pages
Book Rating : 4.5X/5 ( download)

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Download or read book The Regulation of Money Managers written by Tamar Frankel and published by . This book was released on 1978 with total page 248 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Tamar Frankel
Publisher : Aspen Publishers
ISBN 13 : 9780316291903
Total Pages : 2800 pages
Book Rating : 4.00/5 ( download)

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Download or read book The Regulation of Money Managers written by Tamar Frankel and published by Aspen Publishers. This book was released on 1995-12-31 with total page 2800 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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 13 : 9781454870654
Total Pages : pages
Book Rating : 4.56/5 ( download)

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Download or read book The Regulation of Money Managers written by Tamar Frankel and published by . This book was released on with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Tamar Frankel
Publisher : Aspen Publishers
ISBN 13 : 9780316291941
Total Pages : pages
Book Rating : 4.43/5 ( download)

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Download or read book The Regulation of Money Managers written by Tamar Frankel and published by Aspen Publishers. This book was released on 1995-12-31 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Tamar Frankel
Publisher :
ISBN 13 : 9780316292030
Total Pages : 0 pages
Book Rating : 4.36/5 ( download)

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Download or read book The Regulation of Money Managers written by Tamar Frankel and published by . This book was released on 1987 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Clifford E. Kirsch
Publisher :
ISBN 13 : 9781402407710
Total Pages : 0 pages
Book Rating : 4.18/5 ( download)

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Download or read book Investment Adviser Regulation written by Clifford E. Kirsch and published by . This book was released on 2006 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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 : Dirk A. Zetzsche
Publisher : Kluwer Law International B.V.
ISBN 13 : 9041149953
Total Pages : 948 pages
Book Rating : 4.54/5 ( download)

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Download or read book The Alternative Investment Fund Managers Directive written by Dirk A. Zetzsche and published by Kluwer Law International B.V.. This book was released on 2015-09-14 with total page 948 pages. Available in PDF, EPUB and Kindle. Book excerpt: Apart from MiFID, the Alternative Investment Fund Managers Directive (AIFMD) may be the most important European asset management regulation of the early twenty-first century. In this in-depth analytical and critical discussion of the content and system of the directive, thirty-eight contributing authors – academics, lawyers, consultants, fund supervisors, and fund industry experts – examine the AIFMD from every angle. They cover structure, regulatory history, scope, appointment and authorization of the manager, the requirements for depositaries and prime brokers, rules on delegation, reporting requirements, transitional provisions, and the objectives stipulated in the recitals and other official documents. The challenging implications and contexts they examine include the following: – connection with systemic risk and the financial crisis; - nexus with insurance for negligent conduct; - connection with corporate governance doctrine; - risk management; - transparency; - the cross-border dimension; - liability for lost assets; - impact on alternative investment strategies, and - the nexus with the European Regulation on Long-Term Investment Funds (ELTIFR). Nine country reports, representing most of Europe’s financial centres and fund markets add a national perspective to the discussion of the European regulation. These chapters deal with the potential interactions among the AIFMD and the relevant laws and regulations of Austria, France, Germany, Italy, Luxembourg, Liechtenstein, The Netherlands, Malta and the United Kingdom. The second edition of the book continues to deliver not only the much-needed discussion of the inconsistencies and difficulties when applying the directive, but also provides guidance and potential solutions to the problems it raises. The second edition considers all new developments in the field of alternative investment funds, their managers, depositaries, and prime brokers, including, but not limited to, statements by the European Securities and Markets Authority (ESMA) and national competent authorities on the interpretation of the AIFMD, as well as new European regulation, in particular the PRIIPS Regulation, the ELTIF Regulation, the Regulation on European Venture Capital Funds (EuVeCaR), the Regulation on European Social Entrepreneurship Funds (EUSEFR), MiFID II, and UCITS V. The book will be warmly welcomed by investors and their counsel, fund managers, depositaries, asset managers, administrators, as well as regulators and academics in the field.

Author : Tamar Frankel
Publisher :
ISBN 13 : 9781888215601
Total Pages : 590 pages
Book Rating : 4.07/5 ( download)

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Download or read book Investment Management Regulation, Fifth Edition written by Tamar Frankel and published by . This book was released on 2015-09 with total page 590 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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 : Tamar Frankel
Publisher : Piatkus Books
ISBN 13 : 9780316292702
Total Pages : 487 pages
Book Rating : 4.02/5 ( download)

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Download or read book The Regulation of Money Managers written by Tamar Frankel and published by Piatkus Books. This book was released on 1993 with total page 487 pages. Available in PDF, EPUB and Kindle. Book excerpt: