Format:
Bände (Loseblattsammlung)
Edition:
Third edition
ISBN:
9781454870630
Content:
Introduction -- General SEC powers to exempt -- Definition of "investment adviser" under the Investment advisers Act -- Investment advisers under the investment Company Act of 1940 -- Definition of an investment company -- Companies excepted from the definition of an investment company -- Exemptions of issuers from the 1940 act -- Insider relationships -- Directors, officers, members of the advisory board, depositors, and custodians -- Qualification and disqualification of money managers -- Fraud under the advisers act -- The relationship between client and adviser : the contract -- Investment advisers and money managers are fiduciaries -- Duty of loyalty -- Fiduciaries dealing as agents : unlawful benefits -- Duty of care -- Custody of clients' funds -- Books and records -- Introducing investment companies -- Investment companies as institutional investors -- Organizing investment companies -- Operating investment companies -- Reorganizing investment companies -- Registering investment companies -- Distribution of investment companies' securities -- Investment company redemption, repurchase and exchange of shares -- Distribution of investment companies, securities, sales organizations -- Periodic payment plan certificates -- Unit investment trusts -- Face-amount certificate companies -- Regulation of other companies classified in the act -- Reporting, books, and records -- SEC enforcement -- Enforcement: private parties -- Extraterritoriality
Note:
Identifizierung der Ressource nach 2020-1 Supplement
,
Includes bibliographical references and index
,
IntroductionGeneral SEC powers to exempt -- Definition of "investment adviser" under the Investment advisers Act -- Investment advisers under the investment Company Act of 1940 -- Definition of an investment company -- Companies excepted from the definition of an investment company -- Exemptions of issuers from the 1940 act -- Insider relationships -- Directors, officers, members of the advisory board, depositors, and custodians -- Qualification and disqualification of money managers -- Fraud under the advisers act -- The relationship between client and adviser : the contract -- Investment advisers and money managers are fiduciaries -- Duty of loyalty -- Fiduciaries dealing as agents : unlawful benefits -- Duty of care -- Custody of clients' funds -- Books and records -- Introducing investment companies -- Investment companies as institutional investors -- Organizing investment companies -- Operating investment companies -- Reorganizing investment companies -- Registering investment companies -- Distribution of investment companies' securities -- Investment company redemption, repurchase and exchange of shares -- Distribution of investment companies, securities, sales organizations -- Periodic payment plan certificates -- Unit investment trusts -- Face-amount certificate companies -- Regulation of other companies classified in the act -- Reporting, books, and records -- SEC enforcement -- Enforcement: private parties -- Extraterritoriality.
Language:
English
Keywords:
Investitionsrechnung
;
Fondsmanager
;
Anlageberater
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