Skip to main content

CURRENTLY SOLD OUT

Investment Management Law and Regulation by Steve Thel, Harvey E. Bines (Hardcover, 2004)

About this product

About this product

Product Information

Investment Management Law & Regulation is designed to provide legal personnel, compliance department personnel and other staff with easy-to-read descriptions and act as a reference guide to the laws, regulations and policies governing the management and managers of investment funds. As such, it will focus on the three main areas of investment funds: 1. Public funds, that is, the heavily regulated funds, such as mutual funds; 2. ERISA/Pension funds; 3. Private equity funds; Investment funds encompass a wide range of professionals. Most fund companies employ many professionals for their own staff and also have custodians, fund accountants, distributors, administrators, accounting firms and legal counsel. Each of these groups must have professionals on staff that must understand and comply with all of the requirements. While many have legal backgrounds, others have backgrounds in business or accounting. Investment funds are governed by the Investment Company Act of 1940 ( 1940 Act ), the Securities Act of 1933, and the Securities Exchange Act of 1934, among others. Most funds are distributed by an NASD member firm, which makes a fund subject to NASD regulations. Many funds must also r

Product Identifiers

Publisher
Panel Publishers
ISBN-13
9780735530485
eBay Product ID (ePID)
96389314

Product Key Features

Author
Steve Thel, Harvey E. Bines
Publication Name
Investment Management Law and Regulation
Format
Hardcover
Language
English
Subject
Law
Publication Year
2004
Type
Textbook
Number of Pages
927 Pages

Dimensions

Item Height
254mm
Item Width
178mm
Item Weight
1814g

Additional Product Features

Title_Author
Steve Thel, Harvey E. Bines
Country/Region of Manufacture
United States

Best Selling in Textbooks

Current slide {CURRENT_SLIDE} of {TOTAL_SLIDES}- Best Selling in Textbooks

Desk Reference to the Diagnostic Criteria from DSM-5-TR by American Psychiatric Association (2022, Trade Paperback)
5.0 out of 5 stars based on 7 product ratings
$12.19 New
$11.50 Used
Diagnostic and Statistical Manual of Mental Disorders DSM-5-TR by American Psychiatric Association (2022, Trade Paperback)
4.6 out of 5 stars based on 15 product ratings
$34.89 New
$34.00 Used
Self Heal by Design : The Role of Micro-organisms for Health by Barbara O'Neill (2018, Trade Paperback)
5.0 out of 5 stars based on 14 product ratings
$33.00 New
$32.00 Used
Leadership : Theory and Practice by Peter G. Northouse (2021, Trade Paperback, Revised edition)
5.0 out of 5 stars based on 1 product rating
$19.98 New
$10.00 Used
Cognitive Behavior Therapy : Basics and Beyond by Judith S. Beck (2020, Hardcover)
5.0 out of 5 stars based on 4 product ratings
$18.95 New
$17.66 Used
PMBOK® Guide Ser.: Guide to the Project Management Body of Knowledge (PMBOK Guide) and the Standard for Project Management by Project Management Institute (2021, Trade Paperback)
4.9 out of 5 stars based on 7 product ratings
$17.42 New
$12.00 Used
NFPA 70® Handbook with Tabs : 2023 Edition by National Fire Protection Association (NFPA) (2022, Hardcover)
No ratings or reviews yet
$59.50 New
---- Used

Save on Textbooks

Current slide {CURRENT_SLIDE} of {TOTAL_SLIDES}- Save on Textbooks

Diagnostic and Statistical Manual of Mental Disorders DSM-5-TR by American.....
$34.89
Trending at $42.75
PMBOK A Guide to the Project Management Body of Knowledge 7th Ed NEW READ No Cov
$17.42
Trending at $21.99
Cognitive Behavior Therapy : Basics and Beyond by Judith S. Beck(2020)
$18.95
Trending at $19.89
NEW NFPA 70® NEC Handbook with Index Tabs : 2023 Edition by NFPA USA
$59.50
Trending at $67.45
Designing Data-Intensive Applications : The Big Ideas Behind Reliable USA STOCK
$18.25
Trending at $18.95
Diagnostic & Statistical Manual of Mental Disorders: DSM-5-TR(Hardcover) Fast...
$41.45
Trending at $42.25

You may also like

Current slide {CURRENT_SLIDE} of {TOTAL_SLIDES}- You may also like