Overview
Mutual Funds and Exchange Traded Funds Regulation is an essential compliance tool for securities attorneys, mutual fund practitioners, compliance personnel, and risk officers in fund complexes, and a valuable reference for business professionals and investors. This treatise offers definitive and up-to-date legal and compliance information, helping practitioners to satisfy prospectus disclosure and delivery standards; draft airtight advisory, distribution, custodian, and other contracts; structure sound compensation agreements; exploit statutory safe harbors and other exemptions; use SEC-approved methods of valuating mutual fund shares; ensure marketing materials meet legal standards; avoid conflicts of interest, insider trading, and legal traps created by electronic technologies; and satisfy inspectors’ information requests while safeguarding sensitive materials. This treatise is filled with practical advice on complex issues and is updated at least once a year to cover current developments.