Fund Director's Guidebook, Fourth Edition

    By Federal Regulation of Securities

    Fund Director's Guidebook, Fourth Edition

    Fund Director's Guidebook, Fourth Edition

    By Federal Regulation of Securities

    This highly regarded guidebook covers open-end funds (typically referred to as mutual funds), closed-end funds and exchange-traded funds. It is intended to assist directors of investment companies registered under the Investment Company Act of 1940 in fulfilling their responsibilities.

    Fund Director's Guidebook, Fourth Edition

    By Federal Regulation of Securities

    Fund Director's Guidebook, Fourth Edition

    Fund Director's Guidebook, Fourth Edition

    By Federal Regulation of Securities

    This highly regarded guidebook covers open-end funds (typically referred to as mutual funds), closed-end funds and exchange-traded funds. It is intended to assist directors of investment companies registered under the Investment Company Act of 1940 in fulfilling their responsibilities.

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    Fund Director’s Guidebook, Fourth Edition covers open-end funds (typically referred to as mutual funds), closed-end funds and exchange-traded funds. It is intended to assist directors of investment companies registered under the Investment Company Act of 1940 in fulfilling their responsibilities. Since 2006 when the third edition was published, there have been significant developments affecting funds in the wake of the 2008–2009 financial crisis and the resulting legislation, the Dodd-Frank Act. There also has been increased civil litigation involving funds and their service providers, and a more active role of the SEC and its staff in asserting securities law fund-related violations, including SEC enforcement actions against independent directors brought under the 1940 act’s compliance rule.


    This guidebook provides directors with:

    • an overview of the functions, responsibilities, and potential liabilities of fund directors;
    • information about the structure and operations of the board and its relationship to the investment adviser, the distributor, and others;
    • assistance to directors in discharging their responsibilities;
    • suggestions as to how independent directors can best fulfill their responsibilities;
    • and much more.

    Product Details

    Authors

    Federal Regulation of Securities

    Publishers

    ABA Book Publishing

    ISBN

    9781634252652

    UPC Code

    9781634252652

    Page Count

    194

    Product Code

    5070693

    Trim Size

    6x9 Paperback

    Publication Date

    9/8/2015 12:00:00 AM

    Authors

    Federal Regulation of Securities

    Publishers

    ABA Book Publishing

    ISBN

    9781634252669

    UPC Code

    9781634252669

    Page Count

    194

    Product Code

    5070693EBK

    Trim Size

    6 x 9

    Publication Date

    9/8/2015 12:00:00 AM

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