Regulation of Investment Advisers
Author | : Thomas P. Lemke |
Publisher | : |
Total Pages | : |
Release | : 2015 |
Genre | : Investment advisors |
ISBN | : 9780314832627 |
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Author | : Thomas P. Lemke |
Publisher | : |
Total Pages | : |
Release | : 2015 |
Genre | : Investment advisors |
ISBN | : 9780314832627 |
Author | : American Bar Association. House of Delegates |
Publisher | : American Bar Association |
Total Pages | : 216 |
Release | : 2007 |
Genre | : Law |
ISBN | : 9781590318737 |
The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Author | : New York (State) |
Publisher | : |
Total Pages | : 578 |
Release | : 1907 |
Genre | : Banking law |
ISBN | : |
Author | : United States. Securities and Exchange Commission |
Publisher | : |
Total Pages | : 1004 |
Release | : 1970 |
Genre | : Mutual funds |
ISBN | : |
Author | : United States Sentencing Commission |
Publisher | : |
Total Pages | : 456 |
Release | : 1995 |
Genre | : Sentences (Criminal procedure) |
ISBN | : |
Author | : |
Publisher | : Aspen Law & Business Publishers |
Total Pages | : 254 |
Release | : 2002 |
Genre | : Business & Economics |
ISBN | : |
Author | : William A. Birdthistle |
Publisher | : Edward Elgar Publishing |
Total Pages | : 477 |
Release | : 2018-10-26 |
Genre | : Business & Economics |
ISBN | : 1784715050 |
With fifty trillion in worldwide assets, the growth of mutual funds is a truly global phenomenon and deserves a broad international analysis. Local political economies and legal regimes create different regulatory preferences for the oversight of these funds, and academics, public officials and legal practitioners wishing to understand the global investing environment will require a keen awareness of these international differences. The contributors, leading scholars in the field of investment law from around the world, provide a current legal analysis of funds from a variety of perspectives and using an array of methodologies that consider the large fundamental questions governing the role and regulation of investment funds. This volume also explores the identity and behavior of investors as well as issues surrounding less orthodox funds, such as money market funds, ETFs, and private funds. This Handbook will provide legal and financial scholars, academics, lawyers and regulators with a vital tool for working with mutual funds. Contributors include: W.A. Birdthistle, M. Bullard, I.H-Y Chiu, B. Clarke, Q. Curtis, D.A. DeMott, J. Fanto, J.E. Fisch, P. Hanrahan, L.P.Q. Johnson, W.A. Kaal, A.K. Krug, A.B. Laby, J.D. Morley, A. Palmiter, I. Ramsay, E.D. Roiter, M. White, D.A. Zetzsche
Author | : Fiduciary360 |
Publisher | : |
Total Pages | : 56 |
Release | : 2006 |
Genre | : Investment advisors |
ISBN | : 9780978796600 |
This book details a prudent investment process for Investment Stewards--persons who have the legal responsibility for managing someone else's money, including trustees and investment committee members. It is used in conjunction with Fiduciary360's training programs in fiduciary responsibility.
Author | : Marco Dell'Erba |
Publisher | : Oxford University Press |
Total Pages | : 465 |
Release | : 2023-09-28 |
Genre | : Law |
ISBN | : 0198873611 |
This book develops a dynamic perspective on the study of technology as a disruptive force and its relationship to financial regulation and the law. It identifies the interconnections that characterise technology-driven transformations, involving commercial practices, capital markets, corporate-governance, central banking, and financial networks.
Author | : Merritt B. Fox |
Publisher | : |
Total Pages | : 476 |
Release | : 2018 |
Genre | : Securities |
ISBN | : 9781982966850 |