Fund Director's Guidebook, Fourth Edition by Federal Regulation of Securities Committ

Fund Director's Guidebook, Fourth Edition

Fund Director's Guidebook, Fourth Edition covers open-end funds (typically referred to as mutual funds), closed-end funds and...
$250.85 AUD
$250.85 AUD
SKU: 9781634252652
Product Type: Books
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Author: Federal Regulation of Securities Committ
Format: Paperback
Language: English
Subtotal: $250.85
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Fund Director's Guidebook, Fourth Edition by Federal Regulation of Securities Committ

Fund Director's Guidebook, Fourth Edition

$250.85

Fund Director's Guidebook, Fourth Edition

$250.85
Author: Federal Regulation of Securities Committ
Format: Paperback
Language: English
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:
  • an overview of the functions, responsibilities, and potential liabilities of fund directors;
  • information about the structure and operations of the board and its relationship to the investment adviser, the distributor, and others;
  • assistance to directors in discharging their responsibilities;
  • suggestions as to how independent directors can best fulfill their responsibilities;
  • and much more.


Author: Federal Regulation of Securities Committ
Publisher: American Bar Association
Published: 12/01/2016
Pages: 194
Binding Type: Paperback
Weight: 0.95lbs
Size: 8.90h x 5.90w x 0.60d
ISBN: 9781634252652

About the Author
ABA Business Law Section Committee on Federal Regulation of Securities which is compiled of the premier lawyers in the country who practice in this specialty area.


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