Fund Governance Legal Duties Of Investment Company Directors
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Fund Governance Legal Duties Of Investment Company Directors
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Author : Robert A. Robertson
language : en
Publisher: Law Journal Press
Release Date : 2001
Fund Governance Legal Duties Of Investment Company Directors written by Robert A. Robertson and has been published by Law Journal Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2001 with Investment advisors categories.
Regulation And Governance Of Mutual Funds
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Author : Mohammed Khair Alshaleel
language : en
Publisher: Taylor & Francis
Release Date : 2022-08-12
Regulation And Governance Of Mutual Funds written by Mohammed Khair Alshaleel and has been published by Taylor & Francis this book supported file pdf, txt, epub, kindle and other format this book has been release on 2022-08-12 with Law categories.
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.
The Law Of Private Investment Funds
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Author : Timothy Spangler
language : en
Publisher: OUP Oxford
Release Date : 2012-09-06
The Law Of Private Investment Funds written by Timothy Spangler and has been published by OUP Oxford this book supported file pdf, txt, epub, kindle and other format this book has been release on 2012-09-06 with Law categories.
The new edition of The Law of Private Investment Funds offers a practical analysis of the legal and regulatory issues that arise in connection with the structuring, formation, and operation of private investment funds, including hedge funds, private equity funds, real estate funds, and other non-retail collective investment vehicles. The book provides a unique analysis of these funds on a pan-asset class basis, as well as from a US, UK, and European perspective. The themes of investor protection and fiduciary challenge are considered in the context of the various sources available for investor protection including the substantive rights and obligations under general law, and voluntary and statutory rights of regulation. The author considers the various aspects of running private investment funds against the backdrop of regulation and investor protection. Issues such as structuring and launching, and marketing private investment funds are considered in full. The author also looks at the governance challenge where limited partnerships and offshore companies are concerned. The book identifies governance as a key issue for private investment fund participants and discusses in depth several ways in which managers and fund participants can improve the governance of their funds. In addition it analyses the consequences and impact of the recent global financial crisis on private funds, and the response of the US, UK, and European regulators. The new edition includes increased coverage of best practice and industry guidelines, including the ILPA Guidelines for private equity funds, and the MFA's Best Practices for hedge funds. It also provides discussion of new regulatory regimes in the US and EU, including the Dodd Frank Act and AIFMD.
The Investment Company Director
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Author : David M. Butowsky
language : en
Publisher:
Release Date : 1978
The Investment Company Director written by David M. Butowsky and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1978 with Directors of corporations categories.
Corporate Governance And Institutional Investment
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Author : Malik M. Hafeez
language : en
Publisher: Universal-Publishers
Release Date : 2015-12-16
Corporate Governance And Institutional Investment written by Malik M. Hafeez and has been published by Universal-Publishers this book supported file pdf, txt, epub, kindle and other format this book has been release on 2015-12-16 with Business & Economics categories.
Corporate Governance and Institutional Investment focuses on corporate governance and the legal nature of institutional investors in the corporate system. Its aim is to expose the complexity of the relationships that exist between companies on one side, and their shareholders, stakeholders, and monitors on the other. Various types of investors, including trusts and companies, are discussed, including how they function under different legal guidelines. The role of investment managers acting on the behalf of institutional investors is examined, as well as why fund managers overlook the corporate governance problems of their investee’s companies when they are performing well financially. This complexity is one of the main reasons why corporate scandals still occur, despite the existence of an extensive academic literature on corporate governance and the sustained efforts by the corporate community around the world. An analysis of how the monitoring role of institutional investors became effective in the light of company law and trusts is presented by using a comparative model involving the U.K., the U.S.A., Pakistan, and continental Europe. Financial scandals of the last decade such as Enron, Northern Rock, and the banking crisis are also examined. Finally, a review of regulatory approaches which rely upon formal rules and institutions backed by the state legal system, and non-regulatory approaches emphasizing the market mechanism and contractual arrangements, is included.
The Revolution In Investment Company Governance
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Author :
language : en
Publisher: Practising Law Institute
Release Date : 2004-01-01
The Revolution In Investment Company Governance written by and has been published by Practising Law Institute this book supported file pdf, txt, epub, kindle and other format this book has been release on 2004-01-01 with Brokers categories.
Fund Director S Guidebook
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Author : Federal Regulation of Securities Committ
language : en
Publisher: American Bar Association
Release Date : 2015
Fund Director S Guidebook written by Federal Regulation of Securities Committ and has been published by American Bar Association this book supported file pdf, txt, epub, kindle and other format this book has been release on 2015 with Business & Economics categories.
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.
Regulation Of Money Managers
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Author : Tamar Frankel
language : en
Publisher: Wolters Kluwer
Release Date : 2015-09-16
Regulation Of Money Managers written by Tamar Frankel and has been published by Wolters Kluwer this book supported file pdf, txt, epub, kindle and other format this book has been release on 2015-09-16 with Law categories.
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.
Fund Director S Guidebook
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Author :
language : en
Publisher: American Bar Association
Release Date : 2003
Fund Director S Guidebook written by and has been published by American Bar Association this book supported file pdf, txt, epub, kindle and other format this book has been release on 2003 with Law categories.
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.
Duties And Responsibilities Of Directors Of Mutual Funds
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Author : Alfred Jaretzki
language : en
Publisher:
Release Date : 1964
Duties And Responsibilities Of Directors Of Mutual Funds written by Alfred Jaretzki and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1964 with Mutual funds categories.