Prinzipien der kollektiven Vermögensanlage

Author: Dirk A. Zetzsche

Publisher: Mohr Siebeck

ISBN: 9783161522710

Category: Law

Page: 1038

View: 2430

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Dirk Zetzsche behandelt die Entstehung, Funktion und Wirkungsweise von Investmentfonds aus der Perspektive des Privatrechts, der Rechtsokonomie und Rechtsethik unter Berucksichtigung von acht Rechtsordnungen. Er zeigt, dass der im Vertrags-, Trust- und Gesellschaftsrecht ubliche Formenzwang dem Investmentfond nicht gerecht wird. Infolgedessen haben sich in allen Rechtsordnungen, in denen Investmentfonds intensiv genutzt werden, Mischformen gebildet, die zwischen Vertrag, Trust, Korperschaft und Personengesellschaft angesiedelt sind. Der Autor demonstriert die Konsequenzen dieser Typenvermischung anhand der wesentlichen Abschnitte in der Existenz eines Investmentfonds und zeigt daran die erhebliche Bedeutung der Selbstkontrolle der Finanzintermediare fur die Funktionsweise und Akzeptanz von Investmentfonds auf.

Investment Adviser's Legal and Compliance Guide

Author: Terrance J. O'Malley

Publisher: Aspen Publishers

ISBN: 9780735550926

Category: Business & Economics

Page: 534

View: 5902

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Investment Adviser's Legal and Compliance Guide is an invaluable guide written to assist attorneys and advisers in both drafting their policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for experienced attorneys and compliance officers for their changing responsibilities under new rules adopted under the Investment Advisers Act of 1940, as well as new staff interpretations and guidance. Investment Adviser's Legal and Compliance Guide also provides an in depth tutorial for attorneys and compliance officers who are new to this field. Investment Adviser's Legal and Compliance Guide covers in detail such topics as: Filings and amendments that an adviser must make to maintain its SEC registration Major rules and requirements dealing with marketing and attracting new clients The SEC's inspection process New clients, and the management of client accounts. The book also covers requirements relating to the adviser's obligation to its customer, including preventing insider trading and other trading abuses, as well as an adviser's recordkeeping, which is a major factor in meeting the requirement of the Investment Advisers Act. In addition, Investment Adviser's Legal and Compliance Guide provides registered investment advisers and their legal counsel with a comprehensive review of their compliance responsibilities that arise under the Investment Advisers Act.

Financial Regulation and Compliance

How to Manage Competing and Overlapping Regulatory Oversight

Author: H. David Kotz

Publisher: John Wiley & Sons

ISBN: 1118972236

Category: Business & Economics

Page: 256

View: 2895

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Devise an organized, proactive approach to financial compliance Financial Regulation and Compliance provides detailed, step-by-step guidance for the compliance professional seeking to manage overlapping and new regulatory responsibilities. Written by David Kotz, former Inspector General of the SEC with additional guidance provided by leading experts, this book is a one-stop resource for navigating the numerous regulations that have been enacted in response to the financial crisis. You'll learn how best to defend your organization from SEC, CFTC, FINRA, and NFA Enforcement actions, how to prepare for SEC, FINRA, and NFA regulatory examinations, how to manage the increasing volume of whistleblower complaints, how to efficiently and effectively investigate these complaints, and more. Detailed discussion of the regulatory process explains how aggressive you should be in confronting federal agencies and self-regulatory organizations and describes how commenting on issues that affect your business area can be productive or not. The companion website includes a glossary of terms, regulations and government guidance, relevant case law, research databases, and FAQs about various topics, giving you a complete solution for keeping abreast of evolving compliance issues. These days, compliance professionals are faced with a myriad of often overlapping regulatory challenges. Increased aggressiveness on the part of regulators has led to increased demand on financial firms, but this book provides clear insight into navigating the changes and building a more robust compliance function. Strengthen internal compliance and governance programs Manage whistleblower programs and conduct effective investigations Understand how to minimize exposure and liability from Enforcement actions Learn how to prepare for the different types of regulatory examinations Minimize exposure from FCPA violations Understand the pros and cons of commenting on regulations The volume and pace of regulatory change is causing new and diverse pressures on compliance professionals. Navigate the choppy waters successfully with the insider guidance in Financial Regulation and Compliance.

Title 17 Commodity and Securities Exchanges Parts 240 to End (Revised as of April 1, 2014)

17-CFR-Vol-3

Author: Office of The Federal Register, Enhanced by IntraWEB, LLC

Publisher: IntraWEB, LLC and Claitor's Law Publishing

ISBN: 0160917727

Category: Law

Page: 1175

View: 3019

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The Code of Federal Regulations Title 17 contains the codified Federal laws and regulations that are in effect as of the date of the publication pertaining to the financial markets / commodity futures and securities exchanges.

Oral and Maxillofacial Surgery - E-Book

3-Volume Set

Author: Raymond J. Fonseca

Publisher: Elsevier Health Sciences

ISBN: 0323444423

Category: Medical

Page: 2696

View: 4527

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This trusted, three-volume resource covers the full scope of oral and maxillofacial surgery with up-to-date, evidence-based coverage of surgical procedures performed today. NEW! Full color design provides a more vivid depiction of pathologies, concepts, and procedures. NEW! Expert Consult website includes all of the chapters from the print text plus "classic" online-only chapters and an expanded image collection, references linked to PubMed, and periodic content updates. NEW! Thoroughly revised and reorganized content reflects current information and advances in OMS. NEW! New chapters on implants and orthognathic surgery cover the two areas where oral and maxillofacial surgeons have been expanding their practice. NEW! Digital formats are offered in addition to the traditional print text and provide on-the-go access via mobile tablets and smart phones.

Money Laundering Law and Regulation

A Practical Guide

Author: Robin Booth

Publisher: Oxford University Press

ISBN: 0199543038

Category: Law

Page: 484

View: 2428

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Money Laundering Law and Regulation is a practical and comprehensive guide to domestic anti-money laundering law and regulation, increasingly seen as key weapons in the fight against serious and organised crime. The book explains the genesis of the current regime, placing it in the international and regional context. It also provides a chapter-by-chapter analysis of the current law, explaining and analysing key concepts; the statutory framework and individual offences; the developing case law; the Suspicious Activity Reporting regime and problems in its implementation, terrorist financing and money laundering; sentencing, civil recovery and confiscation; and jurisdictional issues. They conclude by looking at the practice of those tasked with prosecuting or defending offences by setting out the powers of investigation and prosecution under POCA and SOCPA and analysing the policy of the various prosecuting bodies, and finally looking at the practicalities of defending, particularly in respect of parallel civil and criminal proceedings, funding and Human Rights Act considerations. The authors comprise an expert team of barristers, including Robin Booth, Chair of the Law Society's Money Laundering Task Force and former head of the Fraud Division of the CPS.