Download or read book Custody of Investments written by A. O. Austen-Peters and published by Oxford University Press on Demand. This book was released on 2000 with total page 225 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book focuses on the legal implications of how assets are held on behalf of investors by other parties and in particular how the chosen method affects the legal rights of the investor over the assets in question. The book also covers the effect of the use of custody assets for security, the duties of custodians, the remedies of investors, cross-border custody and the regulatory response to custody business. An authoritative work for practitioners, academics and reference libraries specializing in financial services, banking and investment law, both in the UK and internationally, it provides one of the clearest and most up to date analyses of these subjects available.
Download or read book Fund Custody and Administration written by David Loader and published by Academic Press. This book was released on 2016-07-13 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Fund Custody and Administration provides an overall perspective of investment funds without limiting its analysis to specific fund structures, as other books do. Since governance and oversight of investment funds are now major regulatory requirements, administrators and custodians must place greater emphasis on the custody and safekeeping of fund assets, on the independent and robust valuation of the assets, and on collateral management. By focusing on both the asset transactions made by the investment manager for the portfolio and on the transactions in the shares or units of the fund itself, it gives readers insights about the essential elements of investment fund management and administration, regardless of their geographical backgrounds.
Download or read book Investment Advisers written by U.s. Government Accountability Office and published by Createspace Independent Publishing Platform. This book was released on 2017-08-05 with total page 32 pages. Available in PDF, EPUB and Kindle. Book excerpt: " Investment advisers provide a wide range of services and collectively manage around $54 trillion in assets for around 24 million clients. Unlike banks and broker-dealers, investment advisers typically do not maintain physical custody of client assets. However, under federal securities regulations, advisers may be deemed to have custody because of their authority to access client assets, for example, by deducting advisory fees from a client account. High-profile fraud cases in recent years highlighted the risks faced by investors when an adviser has custody of their assets. In response, SEC amended its custody rule in 2009 to require a broader range of advisers to undergo annual surprise examinations by independent accountants. At the same time, SEC provided relief from this requirement to certain advisers, including those deemed to have custody solely because of their use of related but "operationally independent" custodians. The Dodd-Frank Wall Street Reform and Consumer Protection Act mandates GAO to study the costs associated with the custody rule. This report describes (1) the requirements of and costs associated with the custody rule and (2) SEC's rationale for not requiring advisers using related but operationally independent custodians to undergo surprise examinations. To address the objectives, GAO reviewed federal securities laws and related rules, analyzed data on advisers, and met with SEC, advisers"
Download or read book Financial Custody written by Joan Coullahan and published by Penguin Putnam. This book was released on 2001 with total page 316 pages. Available in PDF, EPUB and Kindle. Book excerpt: Financial Custody: You, Your Money, and Divorce is aimed at providing both men and women with the resources they need to reach a financially equitable settlement. Some of the many questions this book will help readers answer include: What's the best way to go about dividing assets? What are the tax and liquidity issues that need to be addressed? How should future income be distributed and how are intangible assets such as professional degrees of non-working spouses factored in? Whose insurance should cover whom? The book also features all the necessary financial forms and worksheets, examples of the negotiation process, pre- and post-divorce financial issues, and the process and outcome of an actual divorce settlement.
Download or read book Global Custody and Clearing Services written by R. McGill and published by Springer. This book was released on 2007-12-14 with total page 334 pages. Available in PDF, EPUB and Kindle. Book excerpt: The global custody product was conceived out of changes to United States pension law. Today, service providers act for clients in many countries worldwide, handling assets across 100 countries of investment. The range of services is ever more sophisticated. Measured by the value of assets held under custody, it is a multi trillion dollar industry.
Download or read book Custody Review written by Securities and Investments Board (Great Britain) and published by . This book was released on 1993 with total page 103 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Legal Aspects of the Custody of Assets Under Investment Management written by A. O. Austen-Peters and published by . This book was released on 1998 with total page 500 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Investment Advisers written by A. Nicole Clowers and published by . This book was released on 2013-09-09 with total page 32 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment advisers provide a wide range of services and collectively manage around $54 trillion in assets for around 24 million clients. Unlike banks and broker-dealers, investment advisers typically do not maintain physical custody of client assets. However, under federal securities regulations, advisers may be deemed to have custody because of their authority to access client assets, for ex., by deducting advisory fees from a client account. High-profile fraud cases in recent years highlighted the risks faced by investors when an adviser has custody of their assets. In response, the Securities and Exchange Comm. (SEC) amended its custody rule in 2009 to require a broader range of advisers to undergo annual surprise examinations by independent accountants. SEC also provided relief from this requirement to certain advisers, including those deemed to have custody solely because of their use of related but "operationally independent" custodians. This report describes (1) the requirements of and costs associated with the custody rule; and (2) SEC's rationale for not requiring advisers using related but operationally independent custodians to undergo surprise examinations. Figures. This is a print on demand report.
Download or read book Investment Adviser s Legal and Compliance Guide 3rd Edition written by O'Malley, Walsh and published by Wolters Kluwer. This book was released on 2019-06-18 with total page 990 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser's Legal and Compliance Guide
Download or read book Investment Advisers written by United States Government Accountability Office and published by Createspace Independent Publishing Platform. This book was released on 2018-01-13 with total page 32 pages. Available in PDF, EPUB and Kindle. Book excerpt: INVESTMENT ADVISERS: Requirements and Costs Associated with the Custody Rule
Download or read book Invest Advisters written by Government Accountability Government Accountability Office and published by CreateSpace. This book was released on 2014-12-31 with total page 32 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment advisers provide a wide range of investment advisory services and help individuals and institutions make financial decisions. From individuals and families seeking to plan for retirement or save for college to large institutions managing billions of dollars, clients seek the services of investment advisers to help them evaluate their investment needs, plan for their future, and develop and implement investment strategies. Advisers can include money managers, investment consultants, and financial planners.
Download or read book The Guide to Custody written by and published by . This book was released on 2000 with total page 24 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Custody of investments under the Financial Services Act 1986 written by Securities and Investments Board (Great Britain) and published by . This book was released on 1997 with total page 23 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Rule Changes written by Securities and Futures Authority and published by . This book was released on 2000 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Trust Custody and Investment Services written by Irving Trust Company and published by . This book was released on 196? with total page 25 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Investment Company Act of 1940 as Amended written by United States and published by . This book was released on 1977 with total page 112 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Global Custody written by James Essinger and published by Longman Publishing Group. This book was released on 1991 with total page 328 pages. Available in PDF, EPUB and Kindle. Book excerpt: A survey of the regulatory, clearance and settlement procedures of 24 of the world's leading industrial nations. Discussing the concepts, objectives, technology and marketing techniques of today's global custody industry, it also looks at the principal developments which may occur in the next five years.
