Fund Directors Guidebook PDF Download
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Author | : Federal Regulation of Securities Committee |
Publisher | : American Bar Association |
Total Pages | : 144 |
Release | : 2006 |
Genre | : Business & Economics |
ISBN | : 9781590315101 |
Download Fund Director's Guidebook Book in PDF, ePub and Kindle
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 |
Total Pages | : 0 |
Release | : 2015 |
Genre | : Business & Economics |
ISBN | : 9781634252652 |
Download Fund Director's Guidebook Book in PDF, ePub and Kindle
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 | : |
Publisher | : American Bar Association |
Total Pages | : 0 |
Release | : 2003 |
Genre | : Law |
ISBN | : 9781590312964 |
Download Fund Director's Guidebook Book in PDF, ePub and Kindle
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 | : American Bar Association |
Publisher | : |
Total Pages | : 96 |
Release | : 1997 |
Genre | : Directors of corporations |
ISBN | : 9781570734205 |
Download Fund Director's Guidebook Book in PDF, ePub and Kindle
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 | : American Bar Association. Committee on Corporate Laws |
Publisher | : American Bar Association |
Total Pages | : 140 |
Release | : 2007 |
Genre | : Business & Economics |
ISBN | : 9781590318508 |
Download Corporate Director's Guidebook Book in PDF, ePub and Kindle
The Corporate Director's Guidebook is recognized as the premier authority on the director's role and the board's functions. It is read, consulted and cited by board members, executives, lawyers and academics nationwide. Now available as a new Fifth Edition, the Guidebook completely updates its fourth edition published in 2004. This new Fifth Edition addresses recent effects the Sarbanes-Oxley Act has had in the corporate governance arena and its impact on the legal responsibilities of directors of public companies.
Author | : Robert A. Robertson |
Publisher | : Law Journal Press |
Total Pages | : 906 |
Release | : 2001 |
Genre | : Investment advisors |
ISBN | : 9781588521026 |
Download Fund Governance: Legal Duties of Investment Company Directors Book in PDF, ePub and Kindle
Author | : Melinda Gerber |
Publisher | : John Wiley & Sons |
Total Pages | : 258 |
Release | : 2011-07-07 |
Genre | : Business & Economics |
ISBN | : 1118160711 |
Download How to Create and Manage a Mutual Fund or Exchange-Traded Fund Book in PDF, ePub and Kindle
With this book, author Melinda Gerber walks you through the twenty-nine steps needed to start a mutual fund and the thirty-six steps needed to start an ETF. She provides costs and detailed explanations of how to accomplish each task from fledgling idea to the actuality of selling shares, and also takes the time to explain the importance of creating a clear vision for your fund as well as how to successfully profile customers and identify your competition.
Author | : Robert Pozen |
Publisher | : John Wiley & Sons |
Total Pages | : 366 |
Release | : 2011-01-13 |
Genre | : Business & Economics |
ISBN | : 0470949937 |
Download The Fund Industry Book in PDF, ePub and Kindle
Every investor, student of finance and participant in the mutual fund industry needs to read this book The Fund Industry details how mutual funds are marketed, regulated, and invested in stocks and bonds. The book also describes the critical factors needed to choose a specific fund for your investment or retirement plan, including what to look for when reading prospectuses, shareholder reports and third party reviews. In addition, the book: Discusses the spread of mutual funds to Asia, Europe, and Latin America Compares mutual funds to other investment vehicles such as hedge funds and ETFs Shows how to sort mutual funds by categories and subcategories based on security type and investment objective Other titles by Pozen: Too Big to Save? How to Fix the U.S. Financial System, also by Wiley Fundamentals of the Fund Industry is the most in-depth and up-to-date guide to navigating the mutual fund industry, written in an accessible style with many examples and charts.
Author | : Mutual Fund Directors Forum |
Publisher | : |
Total Pages | : 116 |
Release | : 2004* |
Genre | : Mutual funds |
ISBN | : |
Download Best Practices and Practical Guidance for Mutual Fund Directors Book in PDF, ePub and Kindle
Author | : Robert Pozen |
Publisher | : John Wiley & Sons |
Total Pages | : 546 |
Release | : 2015-01-05 |
Genre | : Business & Economics |
ISBN | : 1118929969 |
Download The Fund Industry Book in PDF, ePub and Kindle
A guide to how your money is managed, with foreword by Nobel laureate Robert Shiller The Fund Industry offers a comprehensive look at mutual funds and the investment management industry, for fund investors, those working in the fund industry, service providers to the industry and students of financial institutions or capital markets. Industry experts Robert Pozen and Theresa Hamacher take readers on a tour of the business of asset management. Readers will learn how to research a fund and assess whether it's right for them; then they'll go behind the scenes to see how funds are invested, sold and regulated. This updated edition expands coverage of the segments of the industry where growth is hottest, including hedge funds, liquid alternatives, ETFs and target date funds—and adds an introduction to derivatives. Mutual funds are a key component of financial planning for 96 million Americans. Nearly a quarter of U.S. household savings are invested in funds, which give individual investors affordable access to professional management. This book provides a detailed look at how firms in the industry: Invest those savings in stocks and bonds Evaluate the risks and returns of funds Distribute funds directly to consumers or through financial advisors or retirement plans Handle the complex operational and regulatory requirements of mutual funds Vote proxies at the annual meetings of public companies Expand their operations across borders Along the way, the authors describe the latest trends and discuss the biggest controversies—all in straightforward and engaging prose. The Fund Industry is the essential guide to navigating the mutual fund industry.