Table of Contents
Fund Director's Guidebook, Fourth Edition
By Federal Regulation of Securities
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:
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an overview of the functions, responsibilities, and potential liabilities of fund directors;
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information about the structure and operations of the board and its relationship to the investment adviser, the distributor, and others;
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assistance to directors in discharging their responsibilities;
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suggestions as to how independent directors can best fulfill their responsibilities;
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and much more.
Product Details
Authors
Federal Regulation of Securities
Sponsors
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
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