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Regulation of Money Managers, 3rd Edition (1-year Online Subscription)

Regulation of Money Managers, 3rd Edition (1-year Online Subscription)

作者： Tamar Frankel; Ann Taylor Schwing
出版商： Wolters Kluwer Legal & Regulatory U.S. (Online)
ISBN: 10071647
出版时间 Subscription-type (Contents updated periodically)
规格： Online , 4330 pages
适应领域： U.S. ? 免责申明：
Countri(es) stated herein are used as reference only

￥12,234.62

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Widely regarded as the most comprehensive and penetrating analysis of the regulation surrounding investment advisers and companies, The Regulation of Money Managers, Third Edition provides unsurpassed guidance for legal counsel in the field.

Newly revised in a four-volume looseleaf format, The Regulation of Money Managers, Third 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. The Third Edition adds three new chapters on compliance, exchange-traded funds, and the extraterritorial regulation of investment advisers and investment companies.

Among the other significant topics and developments covered, you'll find:
- Relevant developments under the Dodd-Frank and the JOBS Acts
- Insider trading
- What constitutes "financial advice" in the employer/employee relationship
- 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 and exchange-traded 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 discussion of relevant subjects and development in this authoritative and comprehensive resource.
1. Introduction
2. General SEC Powers to Exempt
3. Definition of "Investment Adviser" Under the Investment Adviser's Act
4. Investment Advisers Under the Investment Company Act of 1940
5. Definition of an Investment Company
6. Companies Excepted from the Definition of an Investment Company
7. Exemptions of Issuers from the 1940 Act
8. Insider Relationships
9. Directors, Officers, Members of the Advisory Board, Depositors, and Custodians
10. Qualification and Disqualification of Money Managers
11. Fraud Under the Advisers Act
12. The Relationship Between Client and Adviser - The Contract
13. Investment Advisers and Money Managers Are Fiduciaries
14. Duty of Loyalty
15. Fiduciaries Dealing as Agents' Unlawful Benefits
16. Duty of Care
17. Custody of Clients' Funds
18. Books and Records
19. Introducing Investment Companies
20. Investment Companies as Institutional Investors
21. Organizing Investment Companies
22. Operating Investment Companies
23. Reorganizing Investment Companies
24. Registering Investment Companies
25. Distribution of Investment Companies' Securities
26. Investment Company Redemption, Repurchase
27. Distribution
28. Periodic Payment Plan Certificates
29. Unit Investment Trusts
30. Face-Amount Certificate Companies
31. Regulation of Other Companies Classified in the Act
32. Reporting, Books, and Records
33. SEC Enforcement
34. Enforcement: Private Parties
35. Table of Cases; Table of Statutes; Index

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Regulation of Money Managers, 3rd Edition (1-year Online Subscription)

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Regulation of Money Managers, 3rd Edition (1-year Online Subscription)

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