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Practice Area: Corporate/Commercial Law

Regulation of Money Managers: Mutual Funds and Advisers, Second Edition by Tamar Frankel, Ann Taylor Schwing

Regulation of Money Managers: Mutual Funds and Advisers, Second Edition
by: Tamar Frankel, Ann Taylor Schwing
 December 2000,  ISBN 0735518459
ISBN 13: 9780735518452
Looseleaf
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Last updated: Supplement
07 December 2012



 Add to Shopping Cart: Regulation of Money Managers: Mutual Funds and Advisers, Second Edition - 0735518459 - 9780735518452
Widely regarded as the most comprehensive and penetrating analysis of the regulation surrounding investment advisers and companies, The Regulation of Money Managers, Second Edition provides unsurpassed guidance for legal counsel in the field.

Newly revised and now in a looseleaf format, The Regulation of Money Managers, Second Edition keeps you up-to-date with all significant new and proposed SEC rules, no-action letters, and interpretive releases, as well as important cases and relevant regulation from other agencies. Among the crucial topics and developments covered, you'll find:

  • Insider trading
  • What constitutes "financial advice" in the employer/employee relationship
  • The Sarbanes-Oxley Act
  • The structure and organization of investment companies
  • The Gramm-Leach-Bliley Act of 1999
  • The U.S.A. Patriot Act
  • Conditions under which foreign investment companies may offer their securities in the United States
  • Governance issues
  • The SEC's rules and regulations implementing legislation that divided the responsibilities of regulating advisers among the states and the commission
  • Discount brokerage services
  • Internet trading issues
  • Conflicts of interest
  • Money market funds
  • How to avoid Federal Reserve Board jurisdiction
  • Custody of clients' funds
  • Stock appreciation rights
If your practice involves the management of investments or investment companies, you'll find everything you need in this virtually inexhaustible resource.




  1. Introduction
  2. General SEC Powers to Exempt
  3. Definition of "Investment Adviser" Under the Investment Adviser's Act
  4. Investment Advisers Under the Investment Company Act of 1940
  5. Definition of an Investment Company
  6. Companies Excepted from the Definition of an Investment Company
  7. Exemptions of Issuers from the 1940 Act
  8. Insider Relationships
  9. Directors, Officers, Members of the Advisory Board, Depositors, and Custodians
  10. Qualification and Disqualification of Money Managers
  11. Fraud Under the Advisers Act
  12. The Relationship Between Client and Adviser - The Contract
  13. Investment Advisers and Money Managers Are Fiduciaries
  14. Duty of Loyalty
  15. Fiduciaries Dealing as Agents' Unlawful Benefits
  16. Duty of Care
  17. Custody of Clients' Funds
  18. Books and Records
  19. Introducing Investment Companies
  20. Investment Companies as Institutional Investors
  21. Organizing Investment Companies
  22. Operating Investment Companies
  23. Reorganizing Investment Companies
  24. Registering Investment Companies
  25. Distribution of Investment Companies' Securities
  26. Investment Company Redemption, Repurchase
  27. Distribution
  28. Periodic Payment Plan Certificates
  29. Unit Investment Trusts
  30. Face-Amount Certificate Companies
  31. Regulation of Other Companies Classified in the Act
  32. Reporting, Books, and Records
  33. SEC Enforcement
  34. Enforcement: Private Parties
  35. Table of Cases; Table of Statutes; Index




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