Recommendations for Changes in the Regulation of Mutual Funds and Individual Variable Insurance Contracts PDF Download
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Author: Publisher: ISBN: Category : Languages : en Pages : 11
Book Description
This document presents 15 recommendations concerning areas where harmonization could be undertaken between the existing regulation of individual variable insurance contracts (segregated funds) and that of mutual funds. The recommendations are grouped into four categories: product regulation; disclosure regulation; manufacturer regulation; distribution regulation.
Author: Publisher: ISBN: Category : Languages : en Pages : 11
Book Description
This document presents 15 recommendations concerning areas where harmonization could be undertaken between the existing regulation of individual variable insurance contracts (segregated funds) and that of mutual funds. The recommendations are grouped into four categories: product regulation; disclosure regulation; manufacturer regulation; distribution regulation.
Author: Tamar Frankel Publisher: Wolters Kluwer ISBN: 145487063X Category : Law Languages : en Pages : 4826
Book Description
The Regulation of Money Managers (with the original subtitle: The Investment Company Act and The Investment Advisers Act) was published in 1978 and 1980. The Second Edition, subtitled Mutual Funds and Advisers, was published in 2001 and has been annually updated since then. It is a comprehensive and exhaustive treatise on investment management regulation. The treatise covers federal and state statutes, their legislative history, common law, judicial decisions, rules and regulations of the Securities and Exchange Commission, staff reports, and other publications dealing with investment advisers and investment companies. The treatise touches on other financial institutions such as banks, insurance companies, and pension funds. The work also discusses the economic, business, and theoretical aspects of the investment management industry and their effects on the law and on policy. The treatise contains detailed analysis of the history and development of the Investment Company Act and the Investment Advisers Act. It examines the definitions in the Acts, including the concept of ‘‘investment adviser,’’ ‘‘affiliates,’’ and ‘‘interested persons.’’ It outlines the duties of investment company directors, the independent directors, and other fiduciaries of investment companies. The treatise deals with the SEC’s enforcement powers and private parties’ rights of action.
Author: United States. Congress. Senate. Committee on the District of Columbia Publisher: ISBN: Category : Legislative hearings Languages : en Pages : 414
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Author: Tamar Frankel
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Author: United States. Securities and Exchange Commission
Author: Arthur B. Laby
Author: Investment Company Institute (U.S.)
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Author: United States. Congress. Senate. District of Columbia
Author: United States. Congress. Senate. Committee on the District of Columbia