Regulation and governance of mutual funds : United Kingdom and United States of America perspectives on investor protection /: United Kingdom and United States of America perspectives on investor protection. (2022)

• Record Type: Book
• Further Information: Note: Mohammed Khair Alshaleel.
• Authors: Khair Alshaleel, Mohammed
• Contents: Chapter 1: Introduction 1.1 Scope and Purpose 1.2 The Concept of Mutual Funds: Meaning and Terminology 1.3 Open-ended Retail Mutual Funds 1.4 Structure and Outline PART I: MUTUAL FUNDS: CONCEPT, GROWTH AND HISTORY Chapter 2: Mutual Funds: Meaning, Forms and Operations 2.1 Introduction 2.2 Concept of Mutual Funds 2.3 Role of Investment in Mutual Funds 2.4 Hedge Funds Versus Mutual Funds 2.5 Classification of Mutual Funds 2.6 Operation of a Mutual Fund 2.7 Legal Nature of Open-Ended Investment Companies and Unit Trust 2.8 Conclusion Chapter 3: Mutual Funds: Growth and History 3.1 Introduction 3.2 Growth of the Mutual Funds Industry 3.3 Brief History of Mutual Funds 3.4 Conclusion PART II: MUTUAL FUNDS REGULATION AND GOVERNANCE: THE QUEST FOR INVESTOR PROTECTION Chapter 4: Mutual Funds Regulation: The United Kingdom 4.1 Introduction 4.2 Objectives of Financial Regulation 4.3 Existing legal Framework of Mutual Funds in the United Kingdom 4.4 Valuation and Pricing Regulations 4.5 Delegation of Functions 4.6 Winding up Mutual Funds 4.7 Conclusion Chapter 5: Mutual Funds Prudential Regulation: The United Kingdom 5.1 Introduction 5.2 Prudential Regulation: Objectives and Tools 5.3 Mutual Funds Risk Management 5.4 Liquidity Risks Management in an Evolving Mutual Fund Industry 5.5 Mutual Funds Investment Limits: Prudent Spread of Risk 5.6 Conclusion Chapter 6: Governance of Mutual Funds: Comparative Accounts of the United Kingdom and United States 6.1 Introduction 6.2 Conflicts of Interest: Agency Problem Theory 6.3 Definition and Scope of Governance 6.4 Competing Governance Models: Corporate Versus Contractual Model 6.5 Agency Problems as a Challenge to Governance 6.6 Disclosure as a Regulatory Tool in Mutual Funds Governance 6.7 Effectiveness of Voting Rights in Mutual Funds Governance 6.8 Role of the FCA in Protecting investors 6.9 Conclusion Chapter 7: Regulation of Undertakings for Collective Investment in Transferable Securities: The European Union 7.1 Introduction 7.2 Development of the UCITS 7.3 Separation of Management and Supervision Functions: The Foundation of Investor Protection 7.4 Non-UCITS 7.5 EU Passports 7.6 Shareholder Rights Directive II and its Implications for UCITS Managers and Investors 7.7 UCITS and Brexit: Loss of Passporting Rights 7.8 Conclusion Chapter 8: Mutual Funds and Investor Protection in the United Kingdom: Past, Present and Future 8.1 Framing Investor Protection in Mutual Funds Regulation and Governance 8.2 Concluding Comments
• Edition: 1st
• Publisher Details: London : Routledge
• Publication Date: 2022
• Extent: 1 online resource
• Subjects: 346.41092; Mutual funds -- Law and legislation -- Great Britain; Mutual funds -- Law and legislation -- United States; Securities -- Great Britain; Securities -- United States; Investments -- Law and legislation -- Great Britain; Investments -- Law and legislation -- United States
• Languages: English
• ISBNs: 9781000634938; 9781000634907; 9781003127888
• Related ISBNs: 9780367645175
• Notes: Note: Description based on CIP data; resource not viewed.
• Access Rights: Legal Deposit; Only available on premises controlled by the deposit library and to one user at any one time; The Legal Deposit Libraries (Non-Print Works) Regulations (UK).
• Access Usage: Restricted: Printing from this resource is governed by The Legal Deposit Libraries (Non-Print Works) Regulations (UK) and UK copyright law currently in force.