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Fund Custody And Administration

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Fund Custody and Administration

Fund Custody and Administration Book
Author : David Loader
Publisher : Academic Press
Release : 2016-07-14
ISBN : 012849901X
Language : En, Es, Fr & De

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Book Description :

Fund Custody and Administration provides an overall perspective of investment funds without limiting its analysis to specific fund structures, as other books do. Since governance and oversight of investment funds are now major regulatory requirements, administrators and custodians must place greater emphasis on the custody and safekeeping of fund assets, on the independent and robust valuation of the assets, and on collateral management. By focusing on both the asset transactions made by the investment manager for the portfolio and on the transactions in the shares or units of the fund itself, it gives readers insights about the essential elements of investment fund management and administration, regardless of their geographical backgrounds. Explores the key stages in the investment process, from setting up a fund through its launch and operation Explains the roles of participants as well as the ways regulation affects the fund and its operation Describes the work flow associated with custody and administration procedures and processes Defines the role of compliance and risk management in the context of the fund and also how compliance requirements apply to custodians and administrators

Fundamentals of Fund Administration

Fundamentals of Fund Administration Book
Author : David Loader
Publisher : Elsevier
Release : 2011-02-23
ISBN : 0080468152
Language : En, Es, Fr & De

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Book Description :

Fundamentals of Fund Administration fills a gap in the lack of books that cover the administration and operations functions related to funds. With the growth of hedge funds globally there is more and more requirement for fund administration services, and the success of the fund administration is crucial to the success of the funds themselves in a highly competitive market. As the focus on operational risk, cost effective support and administration of trading and investment and the ability to design, develop and deliver added-value services for clients grows there is a need for a comprehensive analysis of what happens from trade to settlement and beyond and the exact role that the fund administrator may be required to provide. The book helps those responsible for managing and supervising fund administration services by examining the decisions, actions and problems at the various stages as well as explaining the products and infrastructure that services support. Concise, easy to read format explains extensive and complicated procedures with lively, easy to follow road maps Comprehensive reference work with extensive glossary of terms, useful website addresses and further reading recommendations Covers all the major stages with detailed explanations of what is required for effective completion and regulatory compliance

Clearing Settlement and Custody

Clearing  Settlement and Custody Book
Author : David Loader
Publisher : Butterworth-Heinemann
Release : 2019-10-13
ISBN : 0128186909
Language : En, Es, Fr & De

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Book Description :

Clearing, Settlement, and Custody, Third Edition, introduces the post-trade infrastructure and its institutions. Author David Loader reduces the complexity of this environment in a non-technical way, helping students and professionals understand the complex chain of events that starts with securities trading and ends the settlement of cash and paper. The Third Edition examines the roles of clearing houses, central counterparties, central securities depositories, and custodians. The book assesses the impact on workflow and procedures in the operations function at banks, brokers, and institutions. In consideration of technological and regulatory advances, this edition adds 5 new chapters while introducing new case studies and updating examples. Adds a new chapter while updating all chapters Adds new case studies and end-of-chapter questions Introduces current examples to illuminate important points

Clearing Settlement and Custody

Clearing  Settlement and Custody Book
Author : David Loader
Publisher : Elsevier
Release : 2002-09-05
ISBN : 0080490654
Language : En, Es, Fr & De

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Book Description :

'Clearing, Settlement and Custody' focuses on the clearing, settlement and custody functions by analyzing how they work and the interaction between the organizations involved. The author examines the roles of clearing houses, central counterparties, central securities depositories and the custodians, as well as, assessing the impact on the workflow and procedures in the operations function at banks, brokers and institutions. The changes that are taking place in the industry are explored and the impact for operations managers and supervisors assessed. Clearing, settlement and custody is at the heart of everything that happens in the financial markets. The evolution of clearing and settlement is one that is still happening and as such, it is impacting on the operations function through both new practices but also, increasingly, in terms of regulation, risk and reputation. In essence the efficient clearing and settlement operation is managing risk, not because it is a direct part of the process but more because it is a bi-product. The routine procedures relate to reconciliation and record keeping. If these are performed efficiently and accurately it will result in accurate records of activity and profit and loss. The settlement process is a key element in identifying and correcting errors made by dealers and traders. Failure to identify the error or act promptly will result in potentially serious financial loss, as well as worrying audit and the regulators. In addition to these concerns the financial service sector is also undergoing a massive rationalization of the structure of clearing and settlement and seeking the twin goals of automation and shortening settlement cycles. The challenge for operations managers is considerable: manage costs, eradicate inefficiencies, create an environment to be competitive, and implement the procedures to meet future changes that will occur. In this book the author looks at some of the different roles, the processes and procedures, and the key issues, in order to help those in operations meet the challenge. The definitive series of professional references for those finance professionals concerned with "Back office" or operations management unique to this industry.Presents concise references on the essential management functions such as technology, client services, and risk management for financial operations management professionals.A comprehensive resource from a leading financial management consultant for global banks and institutions.

Mutual Fund Industry Handbook

Mutual Fund Industry Handbook Book
Author : Lee Gremillion
Publisher : John Wiley & Sons
Release : 2012-06-22
ISBN : 1118428722
Language : En, Es, Fr & De

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Book Description :

"The Mutual Fund Industry Handbook is a remarkably important work . . . I am profoundly impressed by the broad and comprehensive sweep of information and knowledge that this book makes available to industry participants, college and business school students, and anyone else with a serious interest in this industry." -- From the Foreword by John C. Bogle President, Bogle Financial Markets Research Center Founder and former chief executive, The Vanguard Group A Foreword by John C. Bogle, founder of The Vanguard Group and one of the most respected leaders in the mutual fund industry, sets the stage for this authoritative book that explains the complexities of the phenomenal industry in simple terms. Investors like the fact that mutual funds offer professional management, easy diversification, liquidity, convenience, a wide range of investment choices, and regulatory protection. Mutual Fund Industry Handbook touches on all of those features and focuses on the diverse functions performed in the day-to-day operations of the mutual fund industry. You'll learn about: Front-office functions-analysis, buying, and selling. Back-office functions, including settlement, custody, accounting, and reporting. Commission structures-front-end loads, back-end loads, or level loads. The various fund categories used by the Investment Company Institute, Morningstar, and Lipper. The roles played by fund managers, investment advisors, custodial banks, distributors, transfer agents, and other third-party service providers. If you want a definitive reference on the mutual fund industry, this is the book for you.

The Alternative Investment Fund Managers Directive

The Alternative Investment Fund Managers Directive Book
Author : Dirk A. Zetzsche
Publisher : Kluwer Law International B.V.
Release : 2015-09-14
ISBN : 9041149953
Language : En, Es, Fr & De

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Book Description :

Apart from MiFID, the Alternative Investment Fund Managers Directive (AIFMD) may be the most important European asset management regulation of the early twenty-first century. In this in-depth analytical and critical discussion of the content and system of the directive, thirty-eight contributing authors – academics, lawyers, consultants, fund supervisors, and fund industry experts – examine the AIFMD from every angle. They cover structure, regulatory history, scope, appointment and authorization of the manager, the requirements for depositaries and prime brokers, rules on delegation, reporting requirements, transitional provisions, and the objectives stipulated in the recitals and other official documents. The challenging implications and contexts they examine include the following: – connection with systemic risk and the financial crisis; - nexus with insurance for negligent conduct; - connection with corporate governance doctrine; - risk management; - transparency; - the cross-border dimension; - liability for lost assets; - impact on alternative investment strategies, and - the nexus with the European Regulation on Long-Term Investment Funds (ELTIFR). Nine country reports, representing most of Europe’s financial centres and fund markets add a national perspective to the discussion of the European regulation. These chapters deal with the potential interactions among the AIFMD and the relevant laws and regulations of Austria, France, Germany, Italy, Luxembourg, Liechtenstein, The Netherlands, Malta and the United Kingdom. The second edition of the book continues to deliver not only the much-needed discussion of the inconsistencies and difficulties when applying the directive, but also provides guidance and potential solutions to the problems it raises. The second edition considers all new developments in the field of alternative investment funds, their managers, depositaries, and prime brokers, including, but not limited to, statements by the European Securities and Markets Authority (ESMA) and national competent authorities on the interpretation of the AIFMD, as well as new European regulation, in particular the PRIIPS Regulation, the ELTIF Regulation, the Regulation on European Venture Capital Funds (EuVeCaR), the Regulation on European Social Entrepreneurship Funds (EUSEFR), MiFID II, and UCITS V. The book will be warmly welcomed by investors and their counsel, fund managers, depositaries, asset managers, administrators, as well as regulators and academics in the field.

Clearing Settlement and Custody

Clearing  Settlement and Custody Book
Author : David Loader
Publisher : Butterworth-Heinemann
Release : 2019-10-24
ISBN : 0128186917
Language : En, Es, Fr & De

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Book Description :

Clearing, Settlement, and Custody, Third Edition, introduces the post-trade infrastructure and its institutions. Author David Loader reduces the complexity of this environment in a non-technical way, helping students and professionals understand the complex chain of events that starts with securities trading and ends the settlement of cash and paper. The Third Edition examines the roles of clearing houses, central counterparties, central securities depositories, and custodians. The book assesses the impact on workflow and procedures in the operations function at banks, brokers, and institutions. In consideration of technological and regulatory advances, this edition adds 5 new chapters while introducing new case studies and updating examples. Adds a new chapter while updating all chapters Adds new case studies and end-of-chapter questions Introduces current examples to illuminate important points

Investment Company Act of 1940 as Amended

Investment Company Act of 1940  as Amended Book
Author : United States
Publisher : Unknown
Release : 1970
ISBN : 0987650XXX
Language : En, Es, Fr & De

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Book Description :

Download Investment Company Act of 1940 as Amended book written by United States, available in PDF, EPUB, and Kindle, or read full book online anywhere and anytime. Compatible with any devices.

The Law of Global Custody

The Law of Global Custody Book
Author : Madeleine Yates,Gerald Montagu
Publisher : Bloomsbury Publishing
Release : 2013-01-31
ISBN : 1847668771
Language : En, Es, Fr & De

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Book Description :

"Global custody is a service whereby a financial institution assumes responsibility for the safekeeping and administration of its client's international portfolio of securities." (book, p. 1).

Global Custody Services

Global Custody Services Book
Author : Bob Walsh
Publisher : CreateSpace
Release : 2015-11-18
ISBN : 9781519402974
Language : En, Es, Fr & De

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Book Description :

This book is a must for all those who work in the Global Custody business! Its services facilitate and support the investment of trillions of dollars of securities and currencies worldwide. It involves global securities processing and custody, foreign exchange, cash management, securities lending, sub-custodians, asset servicing and more. This book was written by one of the leading authorities in the field, Bob Walsh. In this book, he provides specific information describing how Global Custody services are structured and operate.

Alternative Investments A Primer for Investment Professionals

Alternative Investments  A Primer for Investment Professionals Book
Author : Donald R. Chambers,Keith H. Black,Nelson J. Lacey
Publisher : CFA Institute Research Foundation
Release : 2018
ISBN : 1944960384
Language : En, Es, Fr & De

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Book Description :

Alternative Investments: A Primer for Investment Professionals provides an overview of alternative investments for institutional asset allocators and other overseers of portfolios containing both traditional and alternative assets. It is designed for those with substantial experience regarding traditional investments in stocks and bonds but limited familiarity regarding alternative assets, alternative strategies, and alternative portfolio management. The primer categorizes alternative assets into four groups: hedge funds, real assets, private equity, and structured products/derivatives. Real assets include vacant land, farmland, timber, infrastructure, intellectual property, commodities, and private real estate. For each group, the primer provides essential information about the characteristics, challenges, and purposes of these institutional-quality alternative assets in the context of a well-diversified institutional portfolio. Other topics addressed by this primer include tail risk, due diligence of the investment process and operations, measurement and management of risks and returns, setting return expectations, and portfolio construction. The primer concludes with a chapter on the case for investing in alternatives.

Fund Managers

Fund Managers Book
Author : Matthew Hudson
Publisher : John Wiley & Sons
Release : 2019-10-14
ISBN : 1119515580
Language : En, Es, Fr & De

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Book Description :

The definitive guide on fund and asset managers worldwide Fund Managers: The Complete Guide is an all-encompassing overview of fund and asset managers around the globe. The only comprehensive guide on the subject, this book covers both the fund manager and the market as a whole while providing insights from current and future fund managers and leaders in the technology industry from the UK, EU and US. Focused examination of the fund managers and their investors – the categories of manager, the asset classes they participate in, how they are using technology and their views on the market – complements a wider survey of the market that includes upcoming changes to regulation, taxation and political shifts in the Western world. The asset management industry continues to undergo significant changes that rise from the Global Financial Crisis and its recovery, the recent technology boom and political fluctuations that have altered the way business is conducted in financial markets around the world. Questions concerning China and Asia’s rise, Trumpian influence in America and post-Brexit UK-EU relations underscore the contemporary relevance of Fund Managers: The Complete Guide to current and future discourse within the industry. This important volume: Explains worldwide roles, purposes and operations of asset managers including how local culture influences their strategies Examines different types of assets and asset-management strategies Investigates the influence of macroeconomic and political factors such as governance and regulation, international taxation, anti-globalisation and populism Illustrates the impact of technology and its disruptive products and players Describes the different types of investor investing in the managers’ funds and how they view the industry Future-gazes over the ten years and beyond for the industry Fund Managers: The Complete Guide is the authoritative resource for anyone who requires an overview of the asset management industry and up-to-date insights on current and future trends and practices. The book also complements the author’s earlier work Funds: Private Equity, Hedge and All Core Structures.

A Primer for Investment Trustees

A Primer for Investment Trustees Book
Author : Jeffery V. Bailey,Thomas M. Richards,Jesse L. Phillips
Publisher : Unknown
Release : 2011-01
ISBN : 9781934667330
Language : En, Es, Fr & De

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Book Description :

Download A Primer for Investment Trustees book written by Jeffery V. Bailey,Thomas M. Richards,Jesse L. Phillips, available in PDF, EPUB, and Kindle, or read full book online anywhere and anytime. Compatible with any devices.

Private Equity Accounting Investor Reporting and Beyond

Private Equity Accounting  Investor Reporting  and Beyond Book
Author : Mariya Stefanova
Publisher : FT Press
Release : 2015-02-26
ISBN : 0133761525
Language : En, Es, Fr & De

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Book Description :

Today's only advanced comprehensive guide to private equity accounting, investor reporting, valuations and performance measurement provides a complete update to reflect the latest standards and best practices, as well as the author's unique experience teaching hundreds of fund professionals. In Private Equity Accounting, Investor Reporting and Beyond Mariya Stefanova brings together comprehensive advanced accounting guidance and advice for all private equity practitioners and fund accountants worldwide: information once available only by learning from peers. Replete with up-to-date, user-friendly examples from all main jurisdictions, this guide explains the precise workings and lifecycles of private equity funds; reviews commercial terms; evaluates structures and tax treatments; shows how to read Limited Partnership Agreements; presents best-practice details and processes, and identifies costly pitfalls to avoid.

The Custody of State Funds

The Custody of State Funds Book
Author : Martin Luther Faust
Publisher : Unknown
Release : 1925
ISBN : 0987650XXX
Language : En, Es, Fr & De

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Book Description :

Download The Custody of State Funds book written by Martin Luther Faust, available in PDF, EPUB, and Kindle, or read full book online anywhere and anytime. Compatible with any devices.

The Fund Industry Website

The Fund Industry    Website Book
Author : Robert Pozen,Theresa Hamacher,Don T. Phillips
Publisher : John Wiley & Sons
Release : 2015-02-02
ISBN : 1118929942
Language : En, Es, Fr & De

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Book Description :

A guide to how your money is managed, with foreword by Nobel laureate Robert Shiller The Fund Industry offers a comprehensive look at mutual funds and the investment management industry, for fund investors, those working in the fund industry, service providers to the industry and students of financial institutions or capital markets. Industry experts Robert Pozen and Theresa Hamacher take readers on a tour of the business of asset management. Readers will learn how to research a fund and assess whether it's right for them; then they'll go behind the scenes to see how funds are invested, sold and regulated. This updated edition expands coverage of the segments of the industry where growth is hottest, including hedge funds, liquid alternatives, ETFs and target date funds—and adds an introduction to derivatives. Mutual funds are a key component of financial planning for 96 million Americans. Nearly a quarter of U.S. household savings are invested in funds, which give individual investors affordable access to professional management. This book provides a detailed look at how firms in the industry: Invest those savings in stocks and bonds Evaluate the risks and returns of funds Distribute funds directly to consumers or through financial advisors or retirement plans Handle the complex operational and regulatory requirements of mutual funds Vote proxies at the annual meetings of public companies Expand their operations across borders Along the way, the authors describe the latest trends and discuss the biggest controversies—all in straightforward and engaging prose. The Fund Industry is the essential guide to navigating the mutual fund industry.

Audit and Accounting Guide Investment Companies

Audit and Accounting Guide  Investment Companies Book
Author : AICPA
Publisher : Wiley
Release : 2018-11-06
ISBN : 1948306174
Language : En, Es, Fr & De

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Book Description :

Whether you are a financial statement preparer or auditor, it is critical to understand the complexities of the specialized accounting and regulatory requirements for investment companies. This 2018 guide provides authoritative how-to accounting and auditing advice, including implementation guidance and illustrative financial statements and disclosures. This guide is the industry standard resource, supporting practitioners in a constantly changing industry landscape packed with continuous regulatory developments. Updates include: References to appropriate AICPA Technical Questions and Answers that address when to apply the liquidation basis of accounting. Appendices discussing the new standards for financial instruments, leases and revenue recognition. Appendices discussing common or collective trusts and business development companies.

SEC Docket

SEC Docket Book
Author : United States. Securities and Exchange Commission
Publisher : Unknown
Release : 1994
ISBN : 0987650XXX
Language : En, Es, Fr & De

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Book Description :

Download SEC Docket book written by United States. Securities and Exchange Commission, available in PDF, EPUB, and Kindle, or read full book online anywhere and anytime. Compatible with any devices.

Code of Federal Regulations

Code of Federal Regulations Book
Author : Anonim
Publisher : Unknown
Release : 2006
ISBN : 0987650XXX
Language : En, Es, Fr & De

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Book Description :

Download Code of Federal Regulations book written by , available in PDF, EPUB, and Kindle, or read full book online anywhere and anytime. Compatible with any devices.

Latin Custody

Latin Custody Book
Author : Anonim
Publisher : Unknown
Release : 1995
ISBN : 0987650XXX
Language : En, Es, Fr & De

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Book Description :

Download Latin Custody book written by , available in PDF, EPUB, and Kindle, or read full book online anywhere and anytime. Compatible with any devices.