Analyzes Regulation of both Investment Advisors & Investment Companies Regulation of Money Managers: Mutual Funds and Advisers, Second Edition by Tamar Frankel, Ann Taylor Schwing List Price: $895.00   Eligible for Free Standard Shipping on U.S. Prepaid Orders Imprint: Aspen Publishers ISBN: 9780735518452 Looseleaf: 4,330 pages Publication Cycle: Supplemented annually Last Updated: 10/28/2009 Automatic Supplementation More Info. Available: Item ships in 3-5 Business Days

Widely regarded as the most comprehensive and penetrating analysis of the regulation surrounding investment advisers and companies, The Regulation of Money Managers, 2nd Edition provides unsurpassed guidance for legal counsel in the field. Newly revised and now in a looseleaf format, The Regulation of Money Managers, 2nd 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 rightsIf your practice involves the management of investments or investment companies, you'll find everything you need in this virtually inexhaustible resource. 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 Distribution Periodic Payment Plan Certificates Unit Investment Trusts Face-Amount Certificate Companies Regulation of Other Companies Classified in the Act Reporting, Books, and Records SEC Enforcement Enforcement: Private Parties Table of Cases; Table of Statutes; Index Federal Money Laundering Regulation: Banking, Corporate and Securities Compliance Steven Mark Levy Federal Money Laundering Regulation: Banking, Corporate and Securities Compliance is your complete guide to understanding and complying with all U.S. statutes, regulations and court decisions governing money laundering activity. 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