Regulatory Issues for Investment and Fund Management
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Regulatory Issues for Investment and Fund Management

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Published by Financial Times Prentice Hall .
Written in English


  • Finance

Book details:

The Physical Object
Number of Pages29
ID Numbers
Open LibraryOL10286965M
ISBN 100273633686
ISBN 109780273633686

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Regulation of Investment Companies is a comprehensive practitioner's guide to one of the most complex and rapidly growing areas of law - the regulation of mutual funds and other types of investment companies. Written especially for practitioners. Inside you'll find: • Section-by-section Analysis of the Investment Company Act of and its Rules.   An Introduction to Fund Management introduces readers to the economic rationale for the existence of funds, the different types available, investment strategies and many other related issues from the perspective of the investment manager. It gives an overview of the whole business and explores the process and techniques of fund management, performance measurement and fund . Investment Management (SC5). The intention of the questionnaire was to compare the regulation of real estate funds in the different jurisdictions and, if possible, to identify common themes and problems to be able to decide whether this subject needs further attention of SC5 in the near future. Five Big Issues in Investment Management Bluerock Consulting 3 But the regulatory burden is only going to get heavier. And the cost of meeting the regulations, and proving they have been met, is an area that often seems to provide little bottom line benefit to the industry. For that reason alone, many firmsFile Size: KB.

Investment Funds in United States: Regulatory Overview Bryan Chegwidden, James Thomas and Sarah Davidoff, Ropes & Gray LLP This Q&A is part of the PLC multi-jurisdictional guide to investment funds. It provides a high level overview of investment funds in the United States, looking at both retail funds and hedge funds. Areas covered include a. Responding constructively to closer regulatory scrutiny. May New disclosure document poses significant challenges for funds. April Funds under pressure – product governance faces regulatory scrutiny. February The regulatory landscape for investment management: navigating a challenging course.   An investment bank with an asset management division, a wealth management division, and a traditional banking arm may be regulated by the SEC and FINRA as well as the Federal Reserve, the Treasury.   On Septem , the Canadian Securities Administrators (the "CSA") published a Notice of Consultation: Reducing Regulatory Burden for Investment Fund Issuers - Phase 2, Stage 1 (the "Publication") (PDF), for a day comment period, which proposes draft amendments aimed at reducing the regulatory burden for investment fund issuers (the "Draft Amendments"), including the .

role in disputes between independent directors and fund management. Private Investment Companies The staff addressed various issues relating to private investment companies under sections 2(a)(51)(A), 3(c)(1), and 3(c)(7) of the Investment Company Act, and rules 2a, 2a, 3c-5 and 3c-6 thereunder, including: • who may qualify as a. Changing demographics and markets will thrust asset management to centre-stage. First, regulation will hinder banks and insurers by forcing them to abandon proprietary investing and other core businesses. Second, as the world ages, retirement and healthcare will become critical issues that only asset management can solve.   "Bogle on Mutual Funds: New Perspectives for The Intelligent Investor" by John C. Bogle. As with several of the other top investment books, you would benefit from reading any of . FUND 3 Requirements for alternative investment fund managers Application Investor information Annual report of an AIF Reporting obligations to the FCA Investment in securitisation positions Liquidity Risk management Prime brokeragefirms Valuation Delegation Depositaries.