Fund Director's Guidebook
Title | Fund Director's Guidebook PDF eBook |
Author | Federal Regulation of Securities Committee |
Publisher | American Bar Association |
Total Pages | 144 |
Release | 2006 |
Genre | Business & Economics |
ISBN | 9781590315101 |
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.
Fund Director's Guidebook
Title | Fund Director's Guidebook PDF eBook |
Author | Federal Regulation of Securities Committ |
Publisher | American Bar Association |
Total Pages | 0 |
Release | 2015 |
Genre | Business & Economics |
ISBN | 9781634252652 |
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.
Fund Director's Guidebook
Title | Fund Director's Guidebook PDF eBook |
Author | |
Publisher | American Bar Association |
Total Pages | 0 |
Release | 2003 |
Genre | Law |
ISBN | 9781590312964 |
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.
Fund Director's Guidebook
Title | Fund Director's Guidebook PDF eBook |
Author | American Bar Association |
Publisher | |
Total Pages | 96 |
Release | 1997 |
Genre | Directors of corporations |
ISBN | 9781570734205 |
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.
Fund Governance: Legal Duties of Investment Company Directors
Title | Fund Governance: Legal Duties of Investment Company Directors PDF eBook |
Author | Robert A. Robertson |
Publisher | Law Journal Press |
Total Pages | 906 |
Release | 2001 |
Genre | Investment advisors |
ISBN | 9781588521026 |
How to Create and Manage a Mutual Fund or Exchange-Traded Fund
Title | How to Create and Manage a Mutual Fund or Exchange-Traded Fund PDF eBook |
Author | Melinda Gerber |
Publisher | Wiley |
Total Pages | 0 |
Release | 2017-10-09 |
Genre | Business & Economics |
ISBN | 9780470120552 |
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.
Empire of the Fund
Title | Empire of the Fund PDF eBook |
Author | William A. Birdthistle |
Publisher | Oxford University Press |
Total Pages | 265 |
Release | 2016 |
Genre | Business & Economics |
ISBN | 0199398569 |
Machine generated contents note: -- Part I - Anatomy of a Fund -- 1. Purpose -- 2. Structure -- 3. Economics -- Part II - Diseases & Disorders -- 4. Fees -- 5. Soft Dollars -- 6. Fair Valuation -- 7. Late Trading -- 8. Market Timing -- 9. Selective Disclosure -- Part III - Alternative Remedies -- 10. Retirement Accounts -- 11. Target Date Funds -- 12. Exchange-Traded Funds & Alts -- 13. Money Market Funds -- Part IV - Cures -- 14. A Healthier Use of Mutual Funds