Fund Custody and Administration Book

Fund Custody and Administration


  • Author : David Loader
  • Publisher : Academic Press
  • Release Date : 2016-07-11
  • Genre: Uncategoriezed
  • Pages : 340
  • ISBN 10 : 0128044004

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Fund Custody and Administration Excerpt :

"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 operationExplains the roles of participants as well as the ways regulation affects the fund and its operationDescribes the work flow associated with custody and administration procedures and processesDefines the role of compliance and risk management in the context of the fund and also how compliance requirements apply to custodians and administrators"

Fund Custody and Administration Book

Fund Custody and Administration


  • Author : David Loader
  • Publisher : Academic Press
  • Release Date : 2016-07-14
  • Genre: Business & Economics
  • Pages : 340
  • ISBN 10 : 9780128499016

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Fund Custody and Administration Excerpt :

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 Book
Score: 4
From 1 Ratings

Fundamentals of Fund Administration


  • Author : David Loader
  • Publisher : Elsevier
  • Release Date : 2011-02-23
  • Genre: Business & Economics
  • Pages : 224
  • ISBN 10 : 9780080468150

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Fundamentals of Fund Administration Excerpt :

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

The Alternative Investment Fund Managers Directive Book

The Alternative Investment Fund Managers Directive


  • Author : Dirk A. Zetzsche
  • Publisher : Kluwer Law International B.V.
  • Release Date : 2015-09-14
  • Genre: Law
  • Pages : 948
  • ISBN 10 : 9789041149954

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The Alternative Investment Fund Managers Directive Excerpt :

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 Secur

Clearing  Settlement and Custody Book

Clearing Settlement and Custody


  • Author : David Loader
  • Publisher : Butterworth-Heinemann
  • Release Date : 2019-10-24
  • Genre: Business & Economics
  • Pages : 330
  • ISBN 10 : 9780128186916

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Clearing Settlement and Custody Excerpt :

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 Book

Clearing Settlement and Custody


  • Author : David Loader
  • Publisher : Butterworth-Heinemann
  • Release Date : 2019-10-13
  • Genre: Uncategoriezed
  • Pages : 330
  • ISBN 10 : 9780128186909

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Clearing Settlement and Custody Excerpt :

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 Book

Clearing Settlement and Custody


  • Author : David Loader
  • Publisher : Elsevier
  • Release Date : 2002-09-05
  • Genre: Business & Economics
  • Pages : 256
  • ISBN 10 : 9780080490656

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Clearing Settlement and Custody Excerpt :

'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, a

Global Custody Services Book

Global Custody Services


  • Author : Bob Walsh
  • Publisher : CreateSpace
  • Release Date : 2015-11-18
  • Genre: Uncategoriezed
  • Pages : 154
  • ISBN 10 : 151940297X

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Global Custody Services Excerpt :

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.

Latin Custody Book

Latin Custody


  • Author : Anonim
  • Publisher : Unknown
  • Release Date : 1994
  • Genre: Custodian accounts
  • Pages : 64
  • ISBN 10 : UTEXAS:059173000609018

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Latin Custody Excerpt :

People   s Republic of China Book

People s Republic of China


  • Author : International Monetary Fund. Monetary and Capital Markets Department
  • Publisher : International Monetary Fund
  • Release Date : 2017-12-26
  • Genre: Business & Economics
  • Pages : 288
  • ISBN 10 : 9781484335307

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People s Republic of China Excerpt :

This paper presents an assessment of the level of observance of the IOSCO Objectives and Principles of Securities Regulation in China. The regulatory framework and supervisory program for the securities markets is largely compliant with the IOSCO Principles. Since 2010, the authorities have implemented several initiatives aimed at protecting China’s very large retail investor population. On the China Securities Regulatory Commission (CSRC) side, this includes strengthening the suitability requirements for intermediaries, investors’ ability to exercise their rights, and its investor education program. The CSRC has also expanded authorized activities for some categories of securities intermediaries with the objective of developing an investment banking culture to help capital markets serve the real economy better.

Mutual Fund Industry Handbook Book

Mutual Fund Industry Handbook


  • Author : Lee Gremillion
  • Publisher : John Wiley & Sons
  • Release Date : 2012-06-22
  • Genre: Business & Economics
  • Pages : 400
  • ISBN 10 : 9781118428726

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Mutual Fund Industry Handbook Excerpt :

"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.

SEC Docket Book

SEC Docket


  • Author : United States. Securities and Exchange Commission
  • Publisher : Unknown
  • Release Date : 1994
  • Genre: Securities
  • Pages : null
  • ISBN 10 : NWU:35559003264144

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SEC Docket Excerpt :

Title 17 Commodity and Securities Exchanges Parts 240 to End  Revised as of April 1  2014  Book

Title 17 Commodity and Securities Exchanges Parts 240 to End Revised as of April 1 2014


  • Author : Office of The Federal Register, Enhanced by IntraWEB, LLC
  • Publisher : IntraWEB, LLC and Claitor's Law Publishing
  • Release Date : 2014-04-01
  • Genre: Law
  • Pages : 1175
  • ISBN 10 : 9780160917721

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Title 17 Commodity and Securities Exchanges Parts 240 to End Revised as of April 1 2014 Excerpt :

The Code of Federal Regulations Title 17 contains the codified Federal laws and regulations that are in effect as of the date of the publication pertaining to the financial markets / commodity futures and securities exchanges.