The regulation of money managers
Subtitle: mutual funds and advisers
By: Tamar Frankel, professor of law, Boston University; Arthur B. Laby, professor of law, Rutgers University ; edited by Ann Taylor Schwing, Best Best & Krieger LLP, Sacramento, CA
Contributors: Laby, Arthur B., author; Schwing, Ann Taylor, editor
Edition: Third edition.
Publisher: Wolters Kluwer; Wolters Kluwer Law & Business; Aspen Publishers
Published: 2016
Place of publication: New York
Language: eng
Number of pages: 4330
ISBN-13: 9781454870630
Subjects: Investment advisors; Law and legislation; Mutual funds; Legal status, laws
Notes: Includes bibliographical references and index.
Table of contents: title: Introduction; title: General SEC powers to exempt; title: Definition of "investment adviser" under the Investment advisers Act; title: Investment advisers under the investment Company Act of 1940; title: Definition of an investment company; title: Companies excepted from the definition of an investment company; title: Exemptions of issuers from the 1940 act; title: Insider relationships; title: Directors, officers, members of the advisory board, depositors, and custodians; title: Qualification and disqualification of money managers; title: Fraud under the advisers act; title: The relationship between client and adviser : the contract; title: Investment advisers and money managers are fiduciaries; title: Duty of loyalty; title: Fiduciaries dealing as agents : unlawful benefits; title: Duty of care; title: Custody of clients' funds; title: Books and records; title: Introducing investment companies; title: Investment companies as institutional investors; title: Organizing investment companies; title: Operating investment companies; title: Reorganizing investment companies; title: Registering investment companies; title: Distribution of investment companies' securities; title: Investment company redemption, repurchase and exchange of shares; title: Distribution of investment companies, securities, sales organizations; title: Periodic payment plan certificates; title: Unit investment trusts; title: Face-amount certificate companies; title: Regulation of other companies classified in the act; title: Reporting, books, and records; title: SEC enforcement; title: Enforcement: private parties; title: Extraterritoriality.