Prinzipien der kollektiven Verm gensanlage

Author: Dirk A. Zetzsche
Publisher: Mohr Siebeck
ISBN: 9783161522710
Format: PDF, Docs
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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
Format: PDF, ePub, Docs
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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.