Official List of Section 13(f) Securities
Author | : |
Publisher | : |
Total Pages | : 182 |
Release | : 1981 |
Genre | : Securities |
ISBN | : |
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Author | : |
Publisher | : |
Total Pages | : 182 |
Release | : 1981 |
Genre | : Securities |
ISBN | : |
Author | : |
Publisher | : |
Total Pages | : 148 |
Release | : 1979 |
Genre | : Securities |
ISBN | : |
Author | : |
Publisher | : |
Total Pages | : 150 |
Release | : |
Genre | : Securities |
ISBN | : |
Author | : Terrance J. O'Malley |
Publisher | : Wolters Kluwer |
Total Pages | : 1060 |
Release | : 2013-01-01 |
Genre | : Law |
ISBN | : 1454838493 |
Investment Adviser's Legal and Compliance Guide, Second Edition is an invaluable guide written to assist attorneys and investment advisers in both drafting their compliance policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for experienced attorneys and compliance officers for fulfilling their changing responsibilities under new rules adopted under the Investment Advisers Act of 1940, as well as new staff interpretations and guidance. For the Second Edition, the original author, Terrance J. Oand’Malley, is joined by John H. Walsh. While both authors are seasoned practitioners and acknowledged experts in the area of investment adviser compliance matters, Mr. Walshand’s years of experience, including at the SEC, are reflected in the enhanced practical discussion of relevant legal and compliance issues, including increased numbers of compliance tips, enforcement and regulatory alerts, and compliance tools. Investment Adviser's Legal and Compliance Guide, Second Edition covers in detail such topics as: Filings and amendments that an adviser must make to maintain its SEC registration Major rules and requirements dealing with marketing and attracting new clients Issues arising in connection with the management of private funds The SEC's examination process New clients, and the management of client accounts. The book also covers requirements relating to the adviser's obligation to its customers, including preventing insider trading and other trading abuses, as well as an adviser's recordkeeping, which is a major factor in meeting the requirements of the Investment Advisers Act. In addition, Investment Adviser's Legal and Compliance Guide, Second Edition provides registered investment advisers and their legal counsel with a comprehensive review of their compliance responsibilities that arise under the Investment Advisers Act.
Author | : Alon Brav |
Publisher | : Now Publishers Inc |
Total Pages | : 76 |
Release | : 2010 |
Genre | : Business & Economics |
ISBN | : 1601983387 |
Hedge Fund Activism begins with a brief outline of the research literature and describes datasets on hedge fund activism.
Author | : Pedro Matos |
Publisher | : CFA Institute Research Foundation |
Total Pages | : 80 |
Release | : 2020-05-29 |
Genre | : Business & Economics |
ISBN | : 1944960988 |
This survey examines the vibrant academic literature on environmental, social, and governance (ESG) investing. While there is no consensus on the exact list of ESG issues, responsible investors increasingly assess stocks in their portfolios based on nonfinancial data on environmental impact (e.g., carbon emissions), social impact (e.g., employee satisfaction), and governance attributes (e.g., board structure). The objective is to reduce exposure to investments that pose greater ESG risks or to influence companies to become more sustainable. One active area of research at present involves assessing portfolio risk exposure to climate change. This literature review focuses on institutional investors, which have grown in importance such that they have now become the largest holders of shares in public companies globally. Historically, institutional investors tended to concentrate their ESG efforts mostly on corporate governance (the “G” in ESG). These efforts included seeking to eliminate provisions that restrict shareholder rights and enhance managerial power, such as staggered boards, supermajority rules, golden parachutes, and poison pills. Highlights from this section: · There is no consensus on the exact list of ESG issues and their materiality. · The ESG issue that gets the most attention from institutional investors is climate change, in particular their portfolio companies’ exposure to carbon risk and “stranded assets.” · Investors should be positioning themselves for increased regulation, with the regulatory agenda being more ambitious in the European Union than in the United States. Readers might come away from this survey skeptical about the potential for ESG investing to affect positive change. I prefer to characterize the current state of the literature as having a “healthy dose of skepticism,” with much more remaining to be explored. Here, I hope the reader comes away with a call to action. For the industry practitioner, I believe that the investment industry should strive to achieve positive societal goals. CFA Institute provides an exemplary case in its Future of Finance series (www.cfainstitute.org/research/future-finance). For the academic community, I suggest we ramp up research aimed at tackling some of the open questions around the pressing societal goals of ESG investing. I am optimistic that practitioners and academics will identify meaningful ways to better harness the power of global financial markets for addressing the pressing ESG issues facing our society.
Author | : Merritt B. Fox |
Publisher | : |
Total Pages | : 476 |
Release | : 2018 |
Genre | : Securities |
ISBN | : 9781982966850 |
Author | : |
Publisher | : |
Total Pages | : 356 |
Release | : 2000 |
Genre | : Government publications |
ISBN | : |
Author | : United States. Superintendent of Documents |
Publisher | : |
Total Pages | : 1192 |
Release | : 1993 |
Genre | : Government publications |
ISBN | : |
February issue includes Appendix entitled Directory of United States Government periodicals and subscription publications; September issue includes List of depository libraries; June and December issues include semiannual index
Author | : United States Chess Federation |
Publisher | : Random House Incorporated |
Total Pages | : 409 |
Release | : 2003 |
Genre | : Games |
ISBN | : 0812935594 |
Explains all legal chess moves, and discusses the regulations governing tournaments, lifetime rankings, and tournament director certification.