Fund director's guidebook / Federal Regulation of Securities Committee.
2006
KF325 .A95 06875
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Details
Title
Fund director's guidebook / Federal Regulation of Securities Committee.
Uniform Title
American Bar Association archive publications.
Published
Chicago : ABA Section of Business Law, [2006]
Copyright
©2006
Call Number
KF325 .A95 06875
Edition
Third edition.
ISBN
1590315103
9781590315101
9781590315101
Description
xi, 125 pages ; 23 cm
System Control No.
(OCoLC)318988544
Bibliography, etc. Note
Includes bibliographical references.
Reproduction
Microfiche. Buffalo, N.Y. : W.S. Hein, 2009? 2 microfiches : negative. (Hein's ABA Archive Microfiche Collection).
Record Appears in
Sub-location
Cabinet 13-14
Table of Contents
Task force on fund director's guidebook, federal regulation of securities committee
Sect. 1
Background and structure of the guidebook
1
Sect. 2
Regulatory overview
3
Sect. 3
Fund governance
9
Sect. 4
Board responsibilities with respect to investment advisory arrangements
31
Sect. 5
Board responsibilities with respect to distribution arrangements
39
Sect. 6
Statutory, regulatory and general oversight responsibilities
49
Sect. 7
Disclosure requirements
71
Sect. 8
Specific board responsibilities with respect to certain special types of funds
75
Sect. 9
Specific board responsibilities with respect to closed-end funds
85
Sect. 10
Responsibilities and duties of fund directors under state law
97
Sect. 11
Liability limitation, indemnification and insurance
101