Mutual Fund Law
Mutual Funds Law - US
- Investment Company Act of 1940
The act divides the types of investment company to be regulated into three classifications: Face-amount certificate company: an investment company in the business of issuing face-amount certificates of the installment type. Unit Investment Trust: an investment company which is organized under a trust indenture, contract of custodianship or agency, or similar instrument, does not have a board of directors, and issues only redeemable securities, each of which represents an undivided interest in a unit of specified securities; but does not include a voting trust. Management Company: any investment company other than a face-amount certificate company or a unit investment trust. The most well-known type of management company is the mutual fund.
- Mutual Fund Transparency Act of 2009
A bill to require disclosure of financial relationships between brokers and dealers and mutual fund companies, and of certain commissions paid by mutual fund companies.
- Mutual Funds - Definition
Mutual Funds refers to a fund, managed by an investment company with the financial objective of generating high Rate of Returns. These asset management or investment management companies collects money from the investors and invests those money in different Stocks, Bonds and other financial securities in a diversified manner. Before investing they carry out thorough research and detailed analysis on the market conditions and market trends of stock and bond prices. These things help the fund mangers to speculate properly in the right direction.
- US Securities and Exchange Commission (SEC)
The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. As more and more first-time investors turn to the markets to help secure their futures, pay for homes, and send children to college, our investor protection mission is more compelling than ever. As our nation's securities exchanges mature into global for-profit competitors, there is even greater need for sound market regulation.
Organizations Related to Mutual Funds Law
- Financial Industry Regulatory Authority (FINRA)
The Financial Industry Regulatory Authority (FINRA), is the largest independent regulator for all securities firms doing business in the United States. All told, FINRA oversees nearly 4,750 brokerage firms, about 167,000 branch offices and approximately 633,000 registered securities representatives. Created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange, FINRA is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services.
- Investment Company Institute (ICI)
ICI engages in three core missions: encouraging adherence to high ethical standards by all industry participants; advancing the interests of funds, their shareholders, directors, and investment advisers; and promoting public understanding of mutual funds and other investment companies.
- US Global Investors
U.S Global Investors, Inc. is an investment management firm specializing in gold, natural resources, emerging markets and global infrastructure opportunities around the world. The company, headquartered in San Antonio, Texas, manages a family of no-load mutual funds across a range of asset classes. In addition, the company manages funds for international clients.
Publications Related to Mutual Funds Law
- Mutual Fund Investing - Investor Tips
You can't open a newspaper or read a magazine without seeing ads promoting the stellar performance of "hot" mutual funds. But past performance is not as important as you may think, especially the short-term performance of relatively new or small funds. As with any investment, a fund's past performance is no guarantee of its future success.
- SEC - Invest Wisely: An Introduction to Mutual Funds
Over the past decade, American investors increasingly have turned to mutual funds to save for retirement and other financial goals. Mutual funds can offer the advantages of diversification and professional management. But, as with other investment choices, investing in mutual funds involves risk. And fees and taxes will diminish a fund's returns. It pays to understand both the upsides and the downsides of mutual fund investing and how to choose products that match your goals and tolerance for risk.
- SecLaw - Mutual Funds
SecLaw presents news, publications, articles, policy updates and complicance issues regarding mutual funds as well as information on other types of investments.
Articles on HG.org Related to Mutual Funds Law
- Nationalization, Expropriation, Deprivation and the Protection of Foreign Investors in CameroonAmong the well-known commercial risk of today, expropriation seems to stand out as the most prominent. It represents the most dreadful form of measures to investors, which might be taken against foreign direct investment by a host state.
- Legal Framework for the Regulation of Foreign Investments in CameroonThe Cameroon Government in its effort to protect foreign direct investment has adopted a legal framework made up of on the one hand of national laws and specific contractual agreement signed between Cameroon and a prospective foreign investor and on the other hand , of Inter- Governmental Bilateral Regional and Multilateral Treaties agreed to by the Government.
- Malta – Redefining Collective Investment SchemesThe Investment Services Act (CHAP. 370 of the laws of Malta) currently defines collective investment schemes as arrangements which, inter alia, “operate according to the principle of risk spreading”. By virtue of this definition, the requirement of risk spreading has been imposed on all licensed collective investment schemes alike and this irrespective of the type of collective investment scheme licence.
- Update on Foreign Investment in Ukrainian Agricultural LandThe moratorium on alienation of Ukrainian farm land has long prevented meaningful foreign investment into the Ukrainian agricultural sector. To somehow obtain access to agricultural land, instead of outright ownership foreign investors had to register Ukrainian companies that entered into lease agreements with landowners, most with a “right to buy” option if and when the moratorium will be lifted.
- Legal Aspects of Company Incorporations in Dubai/UAEThe investors establishing their businesses in the UAE should consider various legal aspects, before any investment decisions to avoid any future legal implications.
- Cyprus Developments on Banking Sector – Overcoming the DifficultiesCyprus is struggling with the worst crisis in its history since the 1974 invasion by Turkish military forces that divided the country in two.
- LIBYAN INVESTMENT LAW: FOREIGN OIL COMPANIESForty-two years of the Kaddafi regime’s apathetic attitude and incoherent economic development strategies left Libya as one of the least developed of the oil producing countries.
- International Rating Agencies Also Potentially Indictable in GermanyGerman investors who invest their money with foreign banks on the basis of the credit rating assessments of rating agencies can potentially recover their assets in the case of an erroneous assessment.
- Protecting Your Assets through Trust Formation - CyprusHigh-net-worth individuals with valuable possessions around the globe need effective asset protection tools to manage and safeguard their wealth, as a respond to the differing legislations and tax regulations of the various jurisdictions.
- Construction under attackThose, who watch the real estate market, may note that after the crisis of recent years, new buildings began to appear in Kyiv again as rapidly as mushrooms after rain. The construction industry is slowly recovering and hopes to go beyond the 3% of the Ukrainian GDP.
- All Banking and Finance Law Articles
Articles written by attorneys and experts worldwide discussing legal aspects related to Banking and Finance including: asset protection, capital markets, corporate finance, financial planning, financial services law, investment law, offshore accounts, private equity, project finance, public finance, securities, trade investment and venture capital.