The expanded Mutual Fund Regulation provides authoritative legal and compliance guidance, helping you to:
 Satisfy prospectus disclosure and delivery standards;
Draft foolproof advisory, distribution, custodian, and other key contracts;
Structure sound compensation agreements;
Exploit safe harbors, exemptive rules, and other forms of relief;
Use effective SEC-approved methods of valuating mutual fund shares;
Ensure marketing materials satisfy legal standards;
Avoid conflicts of interest, insider trading, “gun jumping,” and legal traps created by electronic technologies;
Prepare for SEC inspections; and
Satisfy inspectors’ information requests while safeguarding sensitive materials.
Three new chapters in this Practising Law Institute publication cover the distribution of mutual funds through broker-dealers, fund supermarkets, and retirement plans; practical considerations for structuring 12b-1 plans; and conducting investment company/adviser compliance reviews. Several updated chapters give you the latest insight into Sarbanes-Oxley-related developments, shareholder reports, purchase and sale of mutual fund shares, and the latest regulatory response to mutual fund scandals.
Table of Contents includes:
Fund Formation;
Capital Structure;
Prospectus Disclosure and Delivery Requirements;
Shareholder Reports;
Regulation of the Advisory Content;
Regulation of Advisory Fees;
Restrictions on Investments;
Effecting Trades;
Custody of Mutual Funds Assets;
Proxy Voting;
Personal Trading Activities;
Board Structure and Processes;
Shareholder Voting;
Purchase and Sales of Mutual Fund Shares;
Marketing Material;
Regulation of Mutual Funds Sales Practices;
SEC Record Keeping Requirements;
SEC Inspections;
Money Market Funds;
Closed-End Investment Companies;
The Sarbanes-Oxley Act;
Mutual Fund Anti-Money Laundering Rules;
Compliance Policies and Procedures;
ERISA Issues for Mutual Fund Advisers;
The Regulatory Response to the Mutual Fund Scandals.
*Important! Supplement Update Policy: Like most attorney-practitioner titles, this item may be supplemented from time to time with updates by the publisher in order to reflect any changes in the legal topic area covered. These updates are important in ensuring that your item always reflects the most up-to-date legal information. Your purchase price includes the cost of all previous updates and any updates that may be issued within 60 days of your purchase. After that period, subsequent supplements will be sent to you directly from the publisher for your review and purchase.
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