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Fund Director's Guidebook, Fourth Edition -  Federal Regulation of Securities Committee

Fund Director's Guidebook, Fourth Edition

Buch | Softcover
194 Seiten
2016
American Bar Association (Verlag)
978-1-63425-265-2 (ISBN)
CHF 109,60 inkl. MwSt
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This highly regarded guidebook 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.
This guide 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.

ABA Business Law Section Committee on Federal Regulation of Securities which is compiled of the premier lawyers in the country who practice in this specialty area.

Erscheinungsdatum
Zusatzinfo Illustrations
Verlagsort Chicago, IL
Sprache englisch
Maße 152 x 228 mm
Themenwelt Recht / Steuern EU / Internationales Recht
Recht / Steuern Wirtschaftsrecht Bank- und Kapitalmarktrecht
Wirtschaft Betriebswirtschaft / Management Finanzierung
ISBN-10 1-63425-265-9 / 1634252659
ISBN-13 978-1-63425-265-2 / 9781634252652
Zustand Neuware
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