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Fund Custody and Administration

Fund Custody and Administration
  • Author : David Loader
  • Publisher :Unknown
  • Release Date :2016-07-14
  • Total pages :340
  • ISBN : 9780128499016
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Summary : Fund Custody and Administration provides an overall perspective of investment funds without limiting its analysis to specific fund structures, as other books do. Since governance and oversight of investment funds are now major regulatory requirements, administrators and custodians must place greater emphasis on the custody and safekeeping of fund assets, on the independent and robust valuation of the assets, and on collateral management. By focusing on both the asset transactions made by the investment manager for the portfolio and on the transactions in the shares or units of the fund itself, it gives readers insights about the essential elements of investment fund management and administration, regardless of their geographical backgrounds. Explores the key stages in the investment process, from setting up a fund through its launch and operation Explains the roles of participants as well as the ways regulation affects the fund and its operation Describes the work flow associated with custody and administration procedures and processes Defines the role of compliance and risk management in the context of the fund and also how compliance requirements apply to custodians and administrators

Fundamentals of Fund Administration

Fundamentals of Fund Administration
  • Author : David Loader
  • Publisher :Unknown
  • Release Date :2011-02-23
  • Total pages :224
  • ISBN : 9780080468150
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Summary : Fundamentals of Fund Administration fills a gap in the lack of books that cover the administration and operations functions related to funds. With the growth of hedge funds globally there is more and more requirement for fund administration services, and the success of the fund administration is crucial to the success of the funds themselves in a highly competitive market. As the focus on operational risk, cost effective support and administration of trading and investment and the ability to design, develop and deliver added-value services for clients grows there is a need for a comprehensive analysis of what happens from trade to settlement and beyond and the exact role that the fund administrator may be required to provide. The book helps those responsible for managing and supervising fund administration services by examining the decisions, actions and problems at the various stages as well as explaining the products and infrastructure that services support. Concise, easy to read format explains extensive and complicated procedures with lively, easy to follow road maps Comprehensive reference work with extensive glossary of terms, useful website addresses and further reading recommendations Covers all the major stages with detailed explanations of what is required for effective completion and regulatory compliance

Clearing, Settlement and Custody

Clearing, Settlement and Custody
  • Author : David Loader
  • Publisher :Unknown
  • Release Date :2013-09-27
  • Total pages :240
  • ISBN : 9780080983455
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Summary : Four new chapters and updates throughout help this 2e of Clearing, Settlement and Custody summarize worldwide changes in the process of concluding a financial transaction. Noted consultant David Loader provides a highly detailed analysis of the central clearing counterparty concept, the drivers behind it, and its effects on operations teams. He also clearly illustrates the life cycle of a series of transactions to broaden the comparison process. Emphasizing changes in the regulatory environment stemming from the 2008 market crash and liquidity crisis, this edition uses new case studies and end-of-chapter quizzes to explore the transaction value chain of trading, clearing, settlement, and custody. Students and professionals in the financial field will benefit from the book's description of the industry and the details of financial innovation and regulatory response, with their many implications. Supplements theoretical insights about risk with empirical data from current cases Provides the first algorithmic risk management technique that spans multiple asset classes End-of-chapter questions reinforce primary and secondary points

Mutual Fund Industry Handbook

Mutual Fund Industry Handbook
  • Author : Lee Gremillion
  • Publisher :Unknown
  • Release Date :2012-06-22
  • Total pages :400
  • ISBN : 9781118428726
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Summary : "The Mutual Fund Industry Handbook is a remarkably important work . . . I am profoundly impressed by the broad and comprehensive sweep of information and knowledge that this book makes available to industry participants, college and business school students, and anyone else with a serious interest in this industry." -- From the Foreword by John C. Bogle President, Bogle Financial Markets Research Center Founder and former chief executive, The Vanguard Group A Foreword by John C. Bogle, founder of The Vanguard Group and one of the most respected leaders in the mutual fund industry, sets the stage for this authoritative book that explains the complexities of the phenomenal industry in simple terms. Investors like the fact that mutual funds offer professional management, easy diversification, liquidity, convenience, a wide range of investment choices, and regulatory protection. Mutual Fund Industry Handbook touches on all of those features and focuses on the diverse functions performed in the day-to-day operations of the mutual fund industry. You'll learn about: Front-office functions-analysis, buying, and selling. Back-office functions, including settlement, custody, accounting, and reporting. Commission structures-front-end loads, back-end loads, or level loads. The various fund categories used by the Investment Company Institute, Morningstar, and Lipper. The roles played by fund managers, investment advisors, custodial banks, distributors, transfer agents, and other third-party service providers. If you want a definitive reference on the mutual fund industry, this is the book for you.

The Alternative Investment Fund Managers Directive

The Alternative Investment Fund Managers Directive
  • Author : Dirk A. Zetzsche
  • Publisher :Unknown
  • Release Date :2015-09-14
  • Total pages :1042
  • ISBN : 9789041149954
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Summary : Apart from MiFID, the Alternative Investment Fund Managers Directive (AIFMD) may be the most important European asset management regulation of the early twenty-first century. In this in-depth analytical and critical discussion of the content and system of the directive, thirty-eight contributing authors – academics, lawyers, consultants, fund supervisors, and fund industry experts – examine the AIFMD from every angle. They cover structure, regulatory history, scope, appointment and authorization of the manager, the requirements for depositaries and prime brokers, rules on delegation, reporting requirements, transitional provisions, and the objectives stipulated in the recitals and other official documents. The challenging implications and contexts they examine include the following: – connection with systemic risk and the financial crisis; - nexus with insurance for negligent conduct; - connection with corporate governance doctrine; - risk management; - transparency; - the cross-border dimension; - liability for lost assets; - impact on alternative investment strategies, and - the nexus with the European Regulation on Long-Term Investment Funds (ELTIFR). Nine country reports, representing most of Europe’s financial centres and fund markets add a national perspective to the discussion of the European regulation. These chapters deal with the potential interactions among the AIFMD and the relevant laws and regulations of Austria, France, Germany, Italy, Luxembourg, Liechtenstein, The Netherlands, Malta and the United Kingdom. The second edition of the book continues to deliver not only the much-needed discussion of the inconsistencies and difficulties when applying the directive, but also provides guidance and potential solutions to the problems it raises. The second edition considers all new developments in the field of alternative investment funds, their managers, depositaries, and prime brokers, including, but not limited to, statements by the European Securities and Markets Authority (ESMA) and national competent authorities on the interpretation of the AIFMD, as well as new European regulation, in particular the PRIIPS Regulation, the ELTIF Regulation, the Regulation on European Venture Capital Funds (EuVeCaR), the Regulation on European Social Entrepreneurship Funds (EUSEFR), MiFID II, and UCITS V. The book will be warmly welcomed by investors and their counsel, fund managers, depositaries, asset managers, administrators, as well as regulators and academics in the field.

Annual Report

Annual Report
  • Author : United States. Office for Emergency Management. Office of Alien Property Custodian
  • Publisher :Unknown
  • Release Date :2021
  • Total pages :229
  • ISBN : STANFORD:36105130089902
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Summary :

The Fund Industry

The Fund Industry
  • Author : Robert Pozen,Theresa Hamacher
  • Publisher :Unknown
  • Release Date :2015-01-05
  • Total pages :544
  • ISBN : 9781118929957
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Summary : A guide to how your money is managed, with foreword by Nobel laureate Robert Shiller The Fund Industry offers a comprehensive look at mutual funds and the investment management industry, for fund investors, those working in the fund industry, service providers to the industry and students of financial institutions or capital markets. Industry experts Robert Pozen and Theresa Hamacher take readers on a tour of the business of asset management. Readers will learn how to research a fund and assess whether it's right for them; then they'll go behind the scenes to see how funds are invested, sold and regulated. This updated edition expands coverage of the segments of the industry where growth is hottest, including hedge funds, liquid alternatives, ETFs and target date funds—and adds an introduction to derivatives. Mutual funds are a key component of financial planning for 96 million Americans. Nearly a quarter of U.S. household savings are invested in funds, which give individual investors affordable access to professional management. This book provides a detailed look at how firms in the industry: Invest those savings in stocks and bonds Evaluate the risks and returns of funds Distribute funds directly to consumers or through financial advisors or retirement plans Handle the complex operational and regulatory requirements of mutual funds Vote proxies at the annual meetings of public companies Expand their operations across borders Along the way, the authors describe the latest trends and discuss the biggest controversies—all in straightforward and engaging prose. The Fund Industry is the essential guide to navigating the mutual fund industry.

Contributions to Education

Contributions to Education
  • Author : Anonim
  • Publisher :Unknown
  • Release Date :1933
  • Total pages :229
  • ISBN : UIUC:30112108167195
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Summary :

The Fundamentals of Hedge Fund Management

The Fundamentals of Hedge Fund Management
  • Author : Daniel A. Strachman
  • Publisher :Unknown
  • Release Date :2012-05-23
  • Total pages :304
  • ISBN : 9781118239230
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Summary : Updated edition of the book that gives investors, advisors, and managers the tools they need to launch and maintain a hedge fund in today's economy The hedge fund industry has gone through dramatic changes in recent years. Investors of all types continue to want to place their assets into these investment vehicles even in the wake of the credit crisis, massive frauds, and insider trading scandals. Once the forbidden fruit of Wall Street, hedge funds are now considered "must have" investments in any diversified portfolio. Now in its second edition, The Fundamentals of Hedge Fund Management is revised and updated to address how the credit crisis, legislation, fraud, technology, investor demand, global markets, and the economic landscape have affected the industry. Providing readers with a detailed and in-depth analysis of the world of hedge funds, the people working in it, and a look at where it's headed, the book is a timely and indispensable reference and research tool for helping professional money managers, traders, and others to launch and grow successful hedge fund businesses. Addresses how the credit crisis and its fallout has affected the hedge fund industry and what this means for the future Provides the essential information needed to launch and maintain a successful hedge fund in the new global economy Walks the reader through running a hedge fund, helping you to gain success over years, not just months An essential resource for anyone looking to invest in these much-discussed investment products, The Fundamentals of Hedge Fund Management, Second Edition is now fully revised and updated.

Kentucky Administrative Regulations Service

Kentucky Administrative Regulations Service
  • Author : Anonim
  • Publisher :Unknown
  • Release Date :1991
  • Total pages :229
  • ISBN : MINN:31951D00500174N
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Summary :

Investment Governance for Fiduciaries

Investment Governance for Fiduciaries
  • Author : Michael E. Drew,Adam N. Walk
  • Publisher :Unknown
  • Release Date :2019-04-22
  • Total pages :190
  • ISBN : 9781944960704
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Summary : Governance is a word that is increasingly heard and read in modern times, be it corporate governance, global governance, or investment governance. Investment governance, the central concern of this modest volume, refers to the effective employment of resources—people, policies, processes, and systems—by an individual or governing body (the fiduciary or agent) seeking to fulfil their fiduciary duty to a principal (or beneficiary) in addressing an underlying investment challenge. Effective investment governance is an enabler of good stewardship, and for this reason it should, in our view, be of interest to all fiduciaries, no matter the size of the pool of assets or the nature of the beneficiaries. To emphasize the importance of effective investment governance and to demonstrate its flexibility across organization type, we consider our investment governance process within three contexts: defined contribution (DC) plans, defined benefit (DB) plans, and endowments and foundations (E&Fs). Since the financial crisis of 2007–2008, the financial sector’s place in the economy and its methods and ethics have (rightly, in many cases) been under scrutiny. Coupled with this theme, the task of investment governance is of increasing importance due to the sheer weight of money, the retirement savings gap, demographic trends, regulation and activism, and rising standards of behavior based on higher expectations from those fiduciaries serve. These trends are at the same time related and self-reinforcing. Having explored the why of investment governance, we dedicate the remainder of the book to the question of how to bring it to bear as an essential component of good fiduciary practice. At this point, the reader might expect investment professionals to launch into a discussion about an investment process focused on the best way to capture returns. We resist this temptation. Instead, we contend that achieving outcomes on behalf of beneficiaries is as much about managing risks as it is about capturing returns—and we mean “risks” broadly construed, not just fluctuations in asset values.

Management Investment Companies

Management Investment Companies
  • Author : Investment Company Institute (U.S.)
  • Publisher :Unknown
  • Release Date :1962
  • Total pages :111
  • ISBN : UOM:35128000268191
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Summary :

The SEC Speaks in ...

The SEC Speaks in ...
  • Author : Anonim
  • Publisher :Unknown
  • Release Date :2000
  • Total pages :229
  • ISBN : STANFORD:36105020769910
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Summary :

Investment Companies

Investment Companies
  • Author : Anonim
  • Publisher :Unknown
  • Release Date :1985
  • Total pages :229
  • ISBN : STANFORD:36105061045832
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Summary :

The Ohio Plan for the Administration of Vocational Rehabilitation for Disabled People in Ohio

The Ohio Plan for the Administration of Vocational Rehabilitation for Disabled People in Ohio
  • Author : Ohio. Bureau of Vocational Rehabilitation
  • Publisher :Unknown
  • Release Date :1944
  • Total pages :66
  • ISBN : UIUC:30112069857123
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Summary :

Report on a Survey of the Organization and Administration of the State, County, and Town Governments of New Hampshire

Report on a Survey of the Organization and Administration of the State, County, and Town Governments of New Hampshire
  • Author : Brookings Institution. Institute for Government Research
  • Publisher :Unknown
  • Release Date :1932
  • Total pages :633
  • ISBN : UIUC:30112069679923
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Summary :

Connecticut General Statutes Annotated

Connecticut General Statutes Annotated
  • Author : Connecticut
  • Publisher :Unknown
  • Release Date :1960
  • Total pages :229
  • ISBN : MINN:31951D022853888
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Summary :

Session Laws and Resolutions

Session Laws and Resolutions
  • Author : North Carolina
  • Publisher :Unknown
  • Release Date :1941
  • Total pages :229
  • ISBN : UCAL:B4378160
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Summary :

A Primer for Investment Trustees

A Primer for Investment Trustees
  • Author : Jeffery V. Bailey,Thomas M. Richards,Jesse L. Phillips
  • Publisher :Unknown
  • Release Date :2011-01
  • Total pages :107
  • ISBN : 1934667331
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Summary :

The Kenosha Plan for Raising War Relief Funds

The Kenosha Plan for Raising War Relief Funds
  • Author : Anonim
  • Publisher :Unknown
  • Release Date :1918
  • Total pages :29
  • ISBN : WISC:89114555535
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Summary :

Minnesota Year Book

Minnesota Year Book
  • Author : Anonim
  • Publisher :Unknown
  • Release Date :1931
  • Total pages :229
  • ISBN : UOM:39015078618637
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Summary :