Mutual Funds and Exchange Traded Funds Regulation offers definitive and up-to-date legal and compliance information, helping practitioners to:

  • Satisfy prospectus disclosure and delivery standards
  • Draft airtight advisory, distribution, custodian, and other contracts
  • Structure sound compensation agreements
  • Exploit statutory safe harbors and other exemptions
  • Use SEC-approved methods of valuating mutual fund shares
  • Ensure marketing materials meet legal standards
  • Avoid conflicts of interest, insider trading, and legal traps created by electronic technologies
  • Satisfy inspectors’ information requests while safeguarding sensitive materials

This two-volume treatise is filled with practical advice on complex issues involving valuation, distribution through intermediaries, structuring a 12b-1 plan, conducting a compliance review, and guarding against conflicts of interest. Current developments covered include the “Fiduciary Rule” adopted by DOL that significantly expands the types of activities deemed to be fiduciary investment advice;  registered investment companies, or “mutual funds,” that emphasize “alternative” investment assets and strategies (“Alt Funds”); and the issues involved in buying or selling a U.S. or U.K. investment adviser that has a mixed business, including both institutional accounts and funds.

Updated at least once a year, Mutual Funds and Exchange Traded Funds Regulation is an essential compliance tool for securities attorneys, mutual fund practitioners, compliance personnel, and risk officers in fund complexes, and a valuable reference for business professionals and investors.
Publication Date: November 2011
Last Updated: September 2023
ISBN: 9781402416910
Page Count: 2,956 pages
Number of Volumes: 2

You May Also Like