Download or read book Investment Company Act Release written by United States. Securities and Exchange Commission and published by . This book was released on 1967 with total page 974 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Swing Pricing and Fragility in Open end Mutual Funds written by Dunhong Jin and published by International Monetary Fund. This book was released on 2019-11-01 with total page 46 pages. Available in PDF, EPUB and Kindle. Book excerpt: How to prevent runs on open-end mutual funds? In recent years, markets have observed an innovation that changed the way open-end funds are priced. Alternative pricing rules (known as swing pricing) adjust funds’ net asset values to pass on funds’ trading costs to transacting shareholders. Using unique data on investor transactions in U.K. corporate bond funds, we show that swing pricing eliminates the first-mover advantage arising from the traditional pricing rule and significantly reduces redemptions during stress periods. The positive impact of alternative pricing rules on fund flows reverses in calm periods when costs associated with higher tracking error dominate the pricing effect.
Download or read book 2005 Investment Company Fact Book written by and published by . This book was released on 2005-05-15 with total page 172 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Basics of Mutual Funds and Other Registered Investment Companies 2016 written by and published by . This book was released on 2016 with total page 325 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Introduction to Business written by Lawrence J. Gitman and published by . This book was released on 2024-09-16 with total page 1455 pages. Available in PDF, EPUB and Kindle. Book excerpt: Introduction to Business covers the scope and sequence of most introductory business courses. The book provides detailed explanations in the context of core themes such as customer satisfaction, ethics, entrepreneurship, global business, and managing change. Introduction to Business includes hundreds of current business examples from a range of industries and geographic locations, which feature a variety of individuals. The outcome is a balanced approach to the theory and application of business concepts, with attention to the knowledge and skills necessary for student success in this course and beyond. This is an adaptation of Introduction to Business by OpenStax. You can access the textbook as pdf for free at openstax.org. Minor editorial changes were made to ensure a better ebook reading experience. Textbook content produced by OpenStax is licensed under a Creative Commons Attribution 4.0 International License.
Download or read book Audit and Accounting Guide Investment Companies 2017 written by AICPA and published by John Wiley & Sons. This book was released on 2017-10-09 with total page 625 pages. Available in PDF, EPUB and Kindle. Book excerpt: Whether a financial statement preparer or auditor, it is critical to understand the complexities of the specialized accounting and regulatory requirements for investment companies. This guide supports practitioners in a constantly changing industry landscape. It provides authoritative how-to accounting and auditing advice, including implementation guidance and illustrative financial statements and disclosures. Packed with continuous regulatory developments, this guide has been updated to reflect certain changes necessary due to the issuance of authoritative guidance since the guide was originally issued, and other revisions as deemed appropriate. The updates for this 2017 edition include extensive changes to the illustrated financial statements for registered investment companies that result from SEC's issuance of the release Investment Company Reporting Modernization and related amendments to Regulation S-X. Other updates to the 2017 edition include changes to illustrated attestation reports that result from AICPA's issuance of Statement on Standards for Attestation Engagements (SSAE) No. 18, Attestation Standards: Clarification and Recodification. Further updates include: References to appropriate AICPA Technical Questions and Answers that address when to apply the liquidation basis of accounting Appendixes discussing the new standards for financial instruments, leases, and revenue recognition Appendixes discussing common or collective trusts and business development companies
Download or read book Fiduciary Obligations in Business written by Arthur B. Laby and published by . This book was released on 2021-09-09 with total page 375 pages. Available in PDF, EPUB and Kindle. Book excerpt: Leading scholars analyze key issues in fiduciary duties in business―one of the most salient applications of fiduciary law and theory.
Download or read book Securities Market Issues for the 21st Century written by Merritt B. Fox and published by . This book was released on 2018 with total page 476 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book U S Regulation of the International Securities and Derivatives Markets written by and published by Aspen Law & Business Publishers. This book was released on 2002 with total page 254 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Investment Management Law and Regulation written by Harvey E. Bines and published by Wolters Kluwer. This book was released on 2004-01-01 with total page 968 pages. Available in PDF, EPUB and Kindle. Book excerpt: In its First Edition, this classic treatise called attention to the duty of reasonable care, the duty of loyalty and the public duty of fiduciaries to the marketplace. Grounded in the idea that prudent investing is to be defined by professional practices accepted as appropriate at the time of investment by the management, thereby permitting such practices to adapt to changing conditions and insights, the field of investment management law and regulation has at its center the goal of a common standard of care for investment.Now in its Second Edition, this definitive guide to investment management law and regulation helps you to profitably adapt to today's new and changing conditions and anticipate tomorrow's regulatory response.Here are just a few of the reasons why Investment Management Law and Regulation will be so valuable to you:Explains and analyzes all the ins and outs of the law, clarifies the complexities, answers your questions, points out pitfalls and helps you avoid themCovers the entire field in one volume, saves you valuable time and effort in finding information and searching through stacks of referencesEnsures compliance with all relevant regulations, makes sure nothing is overlooked, protects you against costly mistakesUpdates you on the latest important changes, tells you what is happening now and what is likely to happen in the future Investment Management Law and Regulation is the only up-to-date volume to offer a comprehensive examination of the field of investment management law, covering everything from financial theory and legal theory to the various aspects of hands-on fund management. It's the only resource of its kind that:Identifies and explains the financial theories that control the development of investment management law across management activitiesGives critical judicial, legislative, and regulatory history that makes recent law and regulation more comprehensibleCovers all areas of regulation governing the activities of investment managers, including marketing, suitability, advisory contacts, fees, exculpation and indemnification, performance, fiduciary obligations, conflicts of interest, best executionProvides the practical tools that help predict more effectively how regulators will respond to new marketplace developments and productsIntegrates investment management law and regulation for all institutional investment managersAnd more Whether you are a manager, broker, banker, or legal counsel, a seasoned professional or just starting out, this treatise will quickly become your most trusted guide through the intricacies of this complex, critical, and closely scrutinized area
Download or read book Investment Company Swing Pricing Us Securities and Exchange Commission Regulation Sec 2018 Edition written by The Law Library and published by Independently Published. This book was released on 2019-01-26 with total page 132 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Law Library presents the complete text of the Investment Company Swing Pricing (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 The Securities and Exchange Commission is adopting amendments to rule 22c-1 under the Investment Company Act to permit a registered open-end management investment company ("open-end fund" or "fund") (except a money market fund or exchange-traded fund), under certain circumstances, to use "swing pricing," the process of adjusting the fund's net asset value ("NAV") per share to effectively pass on the costs stemming from shareholder purchase or redemption activity to the shareholders associated with that activity, and amendments to rule 31a-2 to require funds to preserve certain records related to swing pricing. The Commission is also adopting amendments to Form N-1A and Regulation S-X and a new item in Form N-CEN, all of which address a fund's use of swing pricing. This ebook contains: - The complete text of the Investment Company Swing Pricing (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
Download or read book The Greenhouse Gas Protocol written by and published by World Business Pub.. This book was released on 2004 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: The GHG Protocol Corporate Accounting and Reporting Standard helps companies and other organizations to identify, calculate, and report GHG emissions. It is designed to set the standard for accurate, complete, consistent, relevant and transparent accounting and reporting of GHG emissions.
Download or read book Research Handbook on the Regulation of Mutual Funds written by William A. Birdthistle and published by Edward Elgar Publishing. This book was released on 2018-10-26 with total page 477 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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
Download or read book Wiley Series 6 Exam Review 2016 Test Bank written by Securities Institute of America and published by John Wiley & Sons. This book was released on 2015-11-06 with total page 378 pages. Available in PDF, EPUB and Kindle. Book excerpt: The go-to guide to acing the Series 6 Exam! Passing the Series 6 Exam qualifies an individual to function as an agent of a broker dealer and allows the limited representative to transact business in mutual funds (closed-end funds on the initial offering only), unit investment trusts, variable annuities, and variable life insurance products. In addition to passing the Series 6 Exam, an agent may be required to pass a state life insurance exam to transact business in variable contracts. Created by the experts at The Securities Institute of America, Inc., Wiley Series 6 Exam Review 2016 arms you with what you need to score high on this tough 100-question test. Designed to let you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides: Dozens of examples Assorted practice questions for each subject area covered in the exam Priceless test-taking tips and strategies Helpful hints on how to study for the test, manage stress, and stay focused Wiley Series 6 Exam Review 2016 is your ticket to passing the Series 6 test on the first try—with flying colors!
Download or read book The Oxford Handbook of Hedge Funds written by Douglas Cumming and published by Oxford University Press. This book was released on 2021-10-26 with total page 560 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Oxford Handbook of Hedge Funds provides a comprehensive overview of the hedge fund industry from a global perspective, bringing together insights from theoretical and applied research. The book seeks to both introduce the industry and what it does to scholars and practitioners new to the area, and to provide more advanced insights to those with extensive expertise in the area. The handbook explains the main context in which hedge funds operate, how the raise capital, and their structure and governance. It evaluates the main factors that have affected the operation of hedge funds, including competition from mutual funds, the market environment, and financial regulation, explains key concepts such as hedge fund flows, and core issues of practice, such as hedge fund manager fees. This volume provides insights into the principle head fund strategies and how these have changed over the years. The behavioural dimensions of hedge fund behaviour are evaluated, as are fintech's consequences. The volume evaluates the effects of hedge funds on the firms they invest in, in terms of internal governance, strategy and practice. Furthermore, it explores a range of ethical issues around the operation of hedge funds, how they fit within the wider political economy, and changes in hedge fund regulation and taxation strategies.
Download or read book United States written by International Monetary Fund. Western Hemisphere Dept. and published by International Monetary Fund. This book was released on 2018-07-03 with total page 84 pages. Available in PDF, EPUB and Kindle. Book excerpt: Unemployment is low, inflation is well contained, and growth is set to accelerate. During the course of this administration, the economy is expected to enter the longest expansion in recorded U.S. history.
Download or read book U S Regulation of the International Securities and Derivatives Markets 12th Edition written by Greene et al. and published by Wolters Kluwer. This book was released on 2017-05-17 with total page 1680 pages. Available in PDF, EPUB and Kindle. Book excerpt:
