Mutual Fund Regulation the expanded mutual fund regulation provides authoritative legal and compliance guidance, helping you to: -satisfy prospectus disclosure and delivery standards; -draft foolproof advisory, distribution, custodian, and other key contracts; -structure sound compensation agreements; -exploit safe harbors, exemptive rules, and other forms of relief; -use effective sec-approved methods of valuating mutual fund shares; -ensure marketing materials satisfy legal standards; -avoid conflicts of interest, insider trading, gun jumping, and legal traps created by electronic technologies; -prepare for sec inspections; and -satisfy inspectors information requests while safeguarding sensitive materials. three new chapters in this practising law institute publication cover the distribution of mutual funds through broker-dealers, fund supermarkets, and retirement plans; practical considerations for structuring 12b-1 plans; and conducting investment company/adviser compliance reviews. several updated chapters give you the latest insight into sarbanes-oxley-related developments, shareholder reports, purchase and sale of mutual fund shares, and the latest regulatory response to mutual fund scandals. table of contents includes: -fund formation; -capital structure; -prospectus disclosure and delivery requirements; -shareholder reports; -regulation of the advisory content; -regulation of advisory fees; -restrictions on investments; -effecting trades; -custody of mutual funds assets; -proxy voting; -personal trading activities; -board structure and processes; -shareholder voting; -purchase and sales of mutual fund shares; -marketing material; -regulation of mutual funds sales practices; -sec record keeping requirements; -sec inspections; -money market funds; -closed-end investment companies; -the sarbanes-oxley act; -mutual fund anti-money laundering rules; -compliance policies and procedures; -erisa issues for mutual fund advisers; -the regulatory response to the mutual fund scandals.... www.barristerbooks.com