2 edition of ALI-ABA Course of Study--the Investment Company Act of 1940 and Investment Company Compliance found in the catalog.
ALI-ABA Course of Study--the Investment Company Act of 1940 and Investment Company Compliance
ALI-ABA Course of Study: the Investment Company Act of 1940 and Investment Company Compliance Los Angeles 1976.
by American Law Institute-American Bar Association Committee on Professional Education in [Philadelphia]
Written in English
|Other titles||Investment company act of 1940 and investment company compliance.|
|Contributions||American Law Institute-American Bar Association Committee on Continuing Professional Education.|
|LC Classifications||KF1078.Z9 A13 1976|
|The Physical Object|
|Pagination||2 v. ;|
|LC Control Number||77352495|
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We put early in the book issues that are of pressing concern to law students or that may arise in the course of externships, clinics, or part-time work. We begin Chapter 1 by discussing the basic structure of the legal profession and the law that governs lawyers because absent that background, the rest of the book might not make sense. Instead, Corporate Bodies and Guilty Minds raises questions about the failure of corporate criminal law. This book is as much about Enron as it is about Lockheed, as much about Lockheed as it is about Standard Oil, and as much about Standard Oil as it is about New .
Investment Company Act, Release No. , [ Transfer Binder] Fed. Sec. L. Rep. (CCH) 85,, at 83, (Nov. 19, ) (provided in connection with the SECs issuance of Rule 3a-7 under the Investment Company Act of ). The securities industry was subject to intense regulation during the Great Depression through a series of six statutes: the Securities Act of , 15 U.S.C. 77a et seq. () (requiring public offerings of securities to be accompanied by a prospectus and to be registered with the Securities and Exchange Commission (SEC)); the Securities.
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The investment management institute, meeting the challenge of a new regulatory regime. keynote address at the tenth annual advanced ali-aba course of study: investment management regulation Terrence J. O'Malley --Sec concept of "Culture of Compliance" in connection with rule 38A-1 under the Investment Company Act of and as.
koebel (do not delete) 12/6/ am 61 trust and the investment adviser industry: congress’ failure to realize finra’s potential to restore investor confidence james t. koebel*. Comments of the Investment Company Institute on Amendments to Rule 12b-1 Proposed by Investment Company Act Release No.
16, at (Sept. 19, ), reprinted in Mary S. Podesta, Current Developments Involving Rule 12b-1, in INVESTMENT COMPANIES, (PLI Course Handbook Series PLI/Corp ). Madoff’s fiduciary duties would then have run to both the trustees, and, under the Investment Company Act ofto the fund investors He also.
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