Investment Management Integrated Library
The core of the library is the CCH Mutual Funds Guide, a comprehensive resource that provides the legal requirements, key contacts and ongoing developments that affect mutual funds and their operations. The Mutual Funds Guide gathers, analyzes and explains all the key legislation—Blue Sky, SEC regulations, self-employed retirement plan guidelines—that you'll need when handling mutual fund issues and operations. It provides the full text of the law and expert plain language explanations for all these important areas: Investment Company Act of 1940, SEC Act of 1934, Investment Advisers Act of 1940, regulations under the Investment Company Act, Investment Advisers Act and Regulation C under the Securities Act.
Within the Mutual Funds Guide a variety of investment plans involving mutual fund shares are covered, such as insurance premium financing, annuities, bank plans, pension and profit-sharing plans and self-employed retirement plans. This special section puts valuable information used by sales personnel, insurance companies and banks in one easy-to-use location. Includes monthly updates providing summaries of new developments, recent court decisions and the latest administrative rulings to keep subscribers current with the most accurate information available.
Aspen titles include:
The Investment Lawyer: Covering Legal and Regulatory Issues of Asset Management. This monthly newsletter, authored by Stephanie Djinis, provides practitioners with practical answers to complex questions and up-to-the minute reporting on regulatory and industry developments. The Investment Lawyer is the first and only legal publication devoted exclusively to investment management. It provides timely and practical coverage of the entire spectrum of problems investment professionals must confront and solve. Plus The Investment Lawyer monitors all of the key regulators—the SEC, CFTC, DOL, and IRS as well as state regulators and the Congress—to keep its readers abreast of the latest regulatory developments and concerns. It is available to be sent to subscribers via push email.
Regulation of Money Managers: Mutual Funds and Advisers, Second Edition by Tamar Frankel and Ann Taylor Schwing. Widely regarded as the most comprehensive and penetrating analysis of the regulation surrounding investment advisers and companies, this treatise provides unsurpassed guidance for legal counsel in the field. It 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 covered are: insider trading, what constitutes "financial advice," Sarbanes-Oxley Act, conditions under which foreign investment companies may offer their securities in the U.S., and conflicts of interest.
Broker-Dealer Law and Regulation, Fourth Edition by Norman S. Poser and James A. Fanto. Written by two of America's leading securities authorities, Norman S. Poser and James A. Fanto, Broker-Dealer Law and Regulation offers reliable guidance on the latest federal and state law governing private litigation and arbitration between broker-dealers and their customers, as well as regulation by the SEC, NASD, and NYSE.
Fundamentals of Securities Regulation, Fifth Edition by the late Louis Loss and Joel Seligman provides quick answers to securities questions by distilling the original Loss/Seligman 11-volume treatise into one convenient volume offering expert analysis of every significant aspect of securities law. The Fifth Edition covers recent developments such as the Sarbanes-Oxley Act and its impact on federal securities rules and regulations, amendment and interpretation of the SEC's Management Discussion and Analysis, new insider trading
|Product Line||Wolters Kluwer Legal & Regulatory U.S.|