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Regulation of Money Managers, Third Edition Set

Regulation of Money Managers, Third Edition Set

By Tamar Frankel , Arthur B Laby ,
Edited by Ann Taylor Schwing
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Widely regarded as the most comprehensive and penetrating analysis of the regulation surrounding investment advisers and companies, The Regulation of Money Managers, Third Edition provides unsurpassed guidance for legal counsel in the field.

Newly revised in a four-volume looseleaf format, The Regulation of Money Managers, Third 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. The Third Edition adds three new chapters on compliance, exchange-traded funds, and the extraterritorial regulation of investment advisers and investment companies.

Among the other significant topics and developments covered, you'll find:

  • Relevant developments under the Dodd-Frank and the JOBS Acts
  • Insider trading
  • What constitutes "financial advice" in the employer/employee relationship
  • 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 and exchange-traded 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 discussion of relevant subjects and development in this authoritative and comprehensive resource.

Last Updated 11/05/2018
Update Frequency Updated annually
Product Line Wolters Kluwer Legal & Regulatory U.S.
ISBN 9781454870630
SKU 10046066-7777
Table of Contents
  • Introduction
  • General SEC Powers to Exempt
  • Definition of "Investment Adviser" Under the Investment Adviser's Act
  • Investment Advisers Under the Investment Company Act of 1940
  • Definition of an Investment Company
  • Companies Excepted from the Definition of an Investment Company
  • Exemptions of Issuers from the 1940 Act
  • Insider Relationships
  • Directors, Officers, Members of the Advisory Board, Depositors, and Custodians
  • Qualification and Disqualification of Money Managers
  • Fraud Under the Advisers Act
  • The Relationship Between Client and Adviser - The Contract
  • Investment Advisers and Money Managers Are Fiduciaries
  • Duty of Loyalty
  • Fiduciaries Dealing as Agents'—Unlawful Benefits
  • Duty of Care
  • Custody of Clients' Funds
  • Books and Records
  • Introducing Investment Companies
  • Investment Companies as Institutional Investors
  • Organizing Investment Companies
  • Operating Investment Companies
  • Reorganizing Investment Companies
  • Registering Investment Companies
  • Distribution of Investment Companies' Securities
  • Investment Company Redemption, Repurchase and Exchange of Shares
  • Distribution of Investment Companies’ Securities—Sales Organizations
  • Periodic Payment Plan Certificates
  • Unit Investment Trusts
  • Exchange-Traded Funds
  • Face-Amount Certificate Companies
  • Regulation of Other Companies Classified in the Act
  • Reporting, Books, and Records
  • Compliance
  • SEC Enforcement
  • Enforcement: Private Parties
  • Extraterritorial Regulation of Investment Advisers and Investment Companies
  • Table of Cases; Table of Statutes; Index

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