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Author: Robert A. Robertson
Publisher: Law Journal Press
Published: 2001
Total Pages: 906
ISBN-13: 9781588521026
DOWNLOAD EBOOKDownload or read book Fund Governance: Legal Duties of Investment Company Directors written by Robert A. Robertson and published by Law Journal Press. This book was released on 2001 with total page 906 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book The Investment Company Director written by David M. Butowsky and published by . This book was released on 1978 with total page 396 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author: Larry D. Barnett
Publisher:
Published: 2009
Total Pages: 34
ISBN-13:
DOWNLOAD EBOOKAn investment company that must register with the Securities and Exchange Commission is required by the Investment Company Act to have a specified percentage or number of directors who are not quot;interestedquot; in the company. To be not interested (i.e., to be independent), a director of an investment company is barred by section 2(a)(19) of the Act from inter alia having had, during the last two completed fiscal years of the company, a material business relationship or a material professional relationship with specified parties. The Commission, in interpreting section 2(a)(19), has not clearly distinguished the two types of relationships and has not focused on professional relationships apart from business relationships. The article contends that this is contrary to the intent of Congress. Accordingly, the article (i) identifies both the elements of a business relationship and the elements of a professional relationship; and (ii) reviews three no-action letters in each of which the Commission staff could have found that a proposed arrangement would have created a professional relationship for an investment company director.
Download or read book When is a Mutual Fund Director Independent? The Unexplored Role of Professional Relationships Under Section 2(A)(19) of the Investment Company Act written by Larry D. Barnett and published by . This book was released on 2009 with total page 34 pages. Available in PDF, EPUB and Kindle. Book excerpt: An investment company that must register with the Securities and Exchange Commission is required by the Investment Company Act to have a specified percentage or number of directors who are not quot;interestedquot; in the company. To be not interested (i.e., to be independent), a director of an investment company is barred by section 2(a)(19) of the Act from inter alia having had, during the last two completed fiscal years of the company, a material business relationship or a material professional relationship with specified parties. The Commission, in interpreting section 2(a)(19), has not clearly distinguished the two types of relationships and has not focused on professional relationships apart from business relationships. The article contends that this is contrary to the intent of Congress. Accordingly, the article (i) identifies both the elements of a business relationship and the elements of a professional relationship; and (ii) reviews three no-action letters in each of which the Commission staff could have found that a proposed arrangement would have created a professional relationship for an investment company director.
Author: United States. Securities and Exchange Commission
Publisher:
Published: 1941
Total Pages: 56
ISBN-13:
DOWNLOAD EBOOKDownload or read book General Rules and Regulations Under the Investment Company Act of 1940 written by United States. Securities and Exchange Commission and published by . This book was released on 1941 with total page 56 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author: United States. Securities and Exchange Commission
Publisher:
Published: 1972
Total Pages: 96
ISBN-13:
DOWNLOAD EBOOKDownload or read book General Rules and Regulations Under the Investment Company Act of 1940 as in Effect May 10, 1972 written by United States. Securities and Exchange Commission and published by . This book was released on 1972 with total page 96 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author: United States. Congress. House. Committee on Commerce. Subcommittee on Telecommunications and Finance
Publisher:
Published: 1995
Total Pages: 96
ISBN-13:
DOWNLOAD EBOOKDownload or read book The Investment Company Act Amendments of 1995 written by United States. Congress. House. Committee on Commerce. Subcommittee on Telecommunications and Finance and published by . This book was released on 1995 with total page 96 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author: Federal Regulation of Securities Committee
Publisher: American Bar Association
Published: 2006
Total Pages: 144
ISBN-13: 9781590315101
DOWNLOAD EBOOKWritten for directors of both open-end investment companies (typically referred to as mutual funds) and closed-end funds, this new Third Edition offers suggestions to assist directors in their roles and obligations. The new edition has been updated to reflect key legal developments that have emerged since the second edition appeared in 2003 including the impact of the Sarbanes-Oxley Act and initiatives undertaken by the SEC in response to the mutual funds scandals occurring in 2003 and 2004.
Download or read book Fund Director's Guidebook written by Federal Regulation of Securities Committee and published by American Bar Association. This book was released on 2006 with total page 144 pages. Available in PDF, EPUB and Kindle. Book excerpt: Written for directors of both open-end investment companies (typically referred to as mutual funds) and closed-end funds, this new Third Edition offers suggestions to assist directors in their roles and obligations. The new edition has been updated to reflect key legal developments that have emerged since the second edition appeared in 2003 including the impact of the Sarbanes-Oxley Act and initiatives undertaken by the SEC in response to the mutual funds scandals occurring in 2003 and 2004.
Author: Robert H. Rosenblum
Publisher: American Bar Association
Published: 2003
Total Pages: 980
ISBN-13: 9781590310458
DOWNLOAD EBOOKDownload or read book Investment Company Determination Under the 1940 Act written by Robert H. Rosenblum and published by American Bar Association. This book was released on 2003 with total page 980 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author: United States. Securities and Exchange Commission
Publisher:
Published: 1968
Total Pages: 76
ISBN-13:
DOWNLOAD EBOOKDownload or read book General Rules and Regulations Under the Investment Company Act of 1940, as in Effect November 1, 1968 written by United States. Securities and Exchange Commission and published by . This book was released on 1968 with total page 76 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance
Publisher:
Published: 1974
Total Pages: 140
ISBN-13:
DOWNLOAD EBOOKDownload or read book Institutional Disclosure and Sales of Investment Company Advisers written by United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance and published by . This book was released on 1974 with total page 140 pages. Available in PDF, EPUB and Kindle. Book excerpt:
