Inhaltsangabe
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.
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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.
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Fund Director's Guidebook, Fourth Edition
Verlag:
American Bar Association, 2016
ISBN 10: 1634252659
ISBN 13: 9781634252652
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Zustand: Good. Pages intact with minimal writing/highlighting. The binding may be loose and creased. Dust jackets/supplements are not included. Stock photo provided. Product includes identifying sticker. Better World Books: Buy Books. Do Good. Artikel-Nr. 54482468-6
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