Regulation of Money Managers: Mutual Funds and Advisers
Widely regarded as the most comprehensive and penetrating analysis of the regulation surrounding investment advisers and companies, The Regulation of Money Managers, 2nd Edition provides unsurpassed guidance for legal counsel in the field.
Newly revised and now in a looseleaf format, The Regulation of Money Managers, 2nd Edition keeps you up-to-date with all significant new and proposed SEC rules, no-action letters, and interpretive releases, as well as important cases and relevant regulation from other agencies. Among the crucial topics and developments covered, you'll find:Insider tradingWhat constitutes "financial advice" in the employer/employee relationshipThe Sarbanes-Oxley ActThe structure and organization of investment companiesThe Gramm-Leach-Bliley Act of 1999The U.S.A. Patriot ActConditions under which foreign investment companies may offer their securities in the United StatesGovernance issuesThe SEC's rules and regulations implementing legislation that divided the responsibilities of regulating advisers among the states and the commissionDiscount brokerage servicesInternet trading issuesConflicts of interestMoney market fundsHow to avoid Federal Reserve Board jurisdictionCustody of clients' fundsStock appreciation rightsIf your practice involves the management of investments or investment companies, you'll find everything you need in this virtually inexhaustible resource.
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