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美國投資管理經典案例研究 版權信息
- ISBN：9787504997920
- 條形碼：9787504997920 ; 978-7-5049-9792-0
- 裝幀：一般膠版紙
- 冊數：暫無
- 重量：暫無
- 所屬分類：>
美國投資管理經典案例研究 內容簡介
本書收集了美國投資管理中的諸多經典案例，栩栩如生、如同在昨、發人深省。案例本身頗具代表性，作者分析入木三分，剖析了投資管理中的得失錯漏。通過案例分析痛思前非、深鑒未來，才能更好地實現美國證券交易委員會的目標與宗旨：保護投資者利益，維護公平、有序、高效的市場秩序，加強信息披露。本書作者長期在美國從事證券交易工作，具有很豐富的市場經驗。本書對美國投資管理的經典案例進行了梳理，并對案例進行了點評，有助于實務工作者、研究人員學習和了解美國投資管理法律。
美國投資管理經典案例研究 目錄
目錄
TABLE OF CONTENTS
CHAPTER 1 CONCEPT OF INVESTMENT COMPANY
SECTION 1．1 PRIMARY ENGAGEMENT： MANAGING INVESTMENTS VS OPERATING BUSINESS
Topic 1 Operating Company vs Investment Company
Topic 2 Industrial Holding Company vs Spe Situation Investment Company
SECTION 1．2 TYPES OF REGISTERED INVESTMENT COMPANIES
Topic 1 “Redeemable Security”： Open-End/Closed-End Dichotomy
Topic 2 Interval Funds： Periodic Repurchasability vs Limited Redeemability
Topic 3 Exchange-Traded Fund： Open-End/Closed-End Hybrid
Topic 4 Money Market Fund： A Type of Open-End Investment Company
CHAPTER 2 MUTUAL FUND STRUCTURAL CONFLICTS; GOVERNANCE; OVERREACHING RISK
SECTION 2．1 FIDUCIARY NATURE OF ADVISER-FUND INVESTORS RELATIONSHIP
Topic 1 Structure of the Investment Company Industry
Topic 2 Fiduciary Duty in Respect of Management Fees
Topic 3 Fiduciary Restrictions on Profitable Transfer of Advisory Contract
SECTION 2．2 INDEPENDENT WATCHDOG FOR FUND INVESTORS
Topic 1 Role of Mutual Fund Board
Topic 2 Fund’s Independent Directors： Watchdogs and the Watched
SECTION 2．3 REGULATORY STRICTURES PROTECTING FUNDS FROM AFFILIATE OVERREACHING
Topic 1 Prior Exemption Required of Affiliate “Acting as Principal” Involving Fund
Topic 2 Remuneration Limitation on Affiliate “Acting as Broker” for Fund
Topic 3 Prohibition of Affiliate “Acting as Agent” Compensated by Third Party
CHAPTER 3 MUTUAL FUND DISTRIBUTION; TRADING; INVESTMENTS
SECTION 3．1 MUTUAL FUND DISTRIBUTION
Topic 1 Structure of Mutual Fund Distribution Finance
Topic 2 Prohibited Distribution Arrangement： IA Revenue Sharing for BD Shelf Space
SECTION 3．2 TRADING IN MUTUAL FUND SHARES
xiv Table of Contents
Topic 1 Late Trading： Insider？6？8s Illegal Profits
Topic 2 Abusive Market Timing： Unfair Short-Term Arbitrage Profit
SECTION 3．3 MUTUAL FUND TRADING IN PORTFOLIO SECURITIES
Topic 1 Soft Dollar Practices
SECTION 3．4 MUTUAL FUND INVESTMENT AND LEVERAGE RESTRICTIONS
Topic 1 Fund of Funds： Pyramid vs Hub-and-Spokes
CHAPTER 4 INVESTMENT ADVISER REGULATION AND ENFORCEMENT UNDER ADVISERS ACT
SECTION 4．1 INVESTMENT ADVISER CONDUCT REGULATION
Topic 1 Statutory Investment Adviser and Exclusions
Topic 2 Registration， Exemption， and Reporting Regime for Statutory Advisers
Topic 3 Standards of Conduct： Investment Adviser vs Broker-Dealer
SECTION 4．2 INVESTMENT ADVISER ANTIFRAUD ENFORCEMENT
Topic 1 Antifraud Statute of Advisers Act
Topic 2 Fraudulent “Pay to Play” Practices
Topic 3 Misleading Investment Performance Advertising
CHAPTER 5 CERTAIN POOLED INVESTMENT VEHICLES BEYOND MUTUAL FUNDS
SECTION 5．1 INSURANCE COMPANY， SEPARATE ACCOUNTS， AND VARIABLE CONTRACTS
Topic 1 Ectoplasmic Theory： Insurance Company vs Variable Separate Account
Topic 2 Issuer of Securities： Insurance Company vs． Non-Unitized Separate Account
SECTION 5．2 BANK COMMON TRUST FUND AND COLLECTIVE INVESTMENT FUND
Topic 1 Fiduciary Trust Services vs Investment Management Services
Topic 2 Trust Funds and Pension Funds Maintained by Bank
SECTION 5．3 POOLED INVESTMENT VEHICLES FUNDING PENSION PLANS
Topic 1 Defined Benefit vs Defined Contribution
SECTION 5．4 STRUCTURED FINANCING VEHICLES
Topic 1 Mortgage-Related Pools
SECTION 5．5 PRIVATE INVESTMENT COMPANIES
Topic 1 Hedge Fund
Topic 2 Performance Fee
TABLE OF CONTENTS
CHAPTER 1 CONCEPT OF INVESTMENT COMPANY
SECTION 1．1 PRIMARY ENGAGEMENT： MANAGING INVESTMENTS VS OPERATING BUSINESS
Topic 1 Operating Company vs Investment Company
Topic 2 Industrial Holding Company vs Spe Situation Investment Company
SECTION 1．2 TYPES OF REGISTERED INVESTMENT COMPANIES
Topic 1 “Redeemable Security”： Open-End/Closed-End Dichotomy
Topic 2 Interval Funds： Periodic Repurchasability vs Limited Redeemability
Topic 3 Exchange-Traded Fund： Open-End/Closed-End Hybrid
Topic 4 Money Market Fund： A Type of Open-End Investment Company
CHAPTER 2 MUTUAL FUND STRUCTURAL CONFLICTS; GOVERNANCE; OVERREACHING RISK
SECTION 2．1 FIDUCIARY NATURE OF ADVISER-FUND INVESTORS RELATIONSHIP
Topic 1 Structure of the Investment Company Industry
Topic 2 Fiduciary Duty in Respect of Management Fees
Topic 3 Fiduciary Restrictions on Profitable Transfer of Advisory Contract
SECTION 2．2 INDEPENDENT WATCHDOG FOR FUND INVESTORS
Topic 1 Role of Mutual Fund Board
Topic 2 Fund’s Independent Directors： Watchdogs and the Watched
SECTION 2．3 REGULATORY STRICTURES PROTECTING FUNDS FROM AFFILIATE OVERREACHING
Topic 1 Prior Exemption Required of Affiliate “Acting as Principal” Involving Fund
Topic 2 Remuneration Limitation on Affiliate “Acting as Broker” for Fund
Topic 3 Prohibition of Affiliate “Acting as Agent” Compensated by Third Party
CHAPTER 3 MUTUAL FUND DISTRIBUTION; TRADING; INVESTMENTS
SECTION 3．1 MUTUAL FUND DISTRIBUTION
Topic 1 Structure of Mutual Fund Distribution Finance
Topic 2 Prohibited Distribution Arrangement： IA Revenue Sharing for BD Shelf Space
SECTION 3．2 TRADING IN MUTUAL FUND SHARES
xiv Table of Contents
Topic 1 Late Trading： Insider？6？8s Illegal Profits
Topic 2 Abusive Market Timing： Unfair Short-Term Arbitrage Profit
SECTION 3．3 MUTUAL FUND TRADING IN PORTFOLIO SECURITIES
Topic 1 Soft Dollar Practices
SECTION 3．4 MUTUAL FUND INVESTMENT AND LEVERAGE RESTRICTIONS
Topic 1 Fund of Funds： Pyramid vs Hub-and-Spokes
CHAPTER 4 INVESTMENT ADVISER REGULATION AND ENFORCEMENT UNDER ADVISERS ACT
SECTION 4．1 INVESTMENT ADVISER CONDUCT REGULATION
Topic 1 Statutory Investment Adviser and Exclusions
Topic 2 Registration， Exemption， and Reporting Regime for Statutory Advisers
Topic 3 Standards of Conduct： Investment Adviser vs Broker-Dealer
SECTION 4．2 INVESTMENT ADVISER ANTIFRAUD ENFORCEMENT
Topic 1 Antifraud Statute of Advisers Act
Topic 2 Fraudulent “Pay to Play” Practices
Topic 3 Misleading Investment Performance Advertising
CHAPTER 5 CERTAIN POOLED INVESTMENT VEHICLES BEYOND MUTUAL FUNDS
SECTION 5．1 INSURANCE COMPANY， SEPARATE ACCOUNTS， AND VARIABLE CONTRACTS
Topic 1 Ectoplasmic Theory： Insurance Company vs Variable Separate Account
Topic 2 Issuer of Securities： Insurance Company vs． Non-Unitized Separate Account
SECTION 5．2 BANK COMMON TRUST FUND AND COLLECTIVE INVESTMENT FUND
Topic 1 Fiduciary Trust Services vs Investment Management Services
Topic 2 Trust Funds and Pension Funds Maintained by Bank
SECTION 5．3 POOLED INVESTMENT VEHICLES FUNDING PENSION PLANS
Topic 1 Defined Benefit vs Defined Contribution
SECTION 5．4 STRUCTURED FINANCING VEHICLES
Topic 1 Mortgage-Related Pools
SECTION 5．5 PRIVATE INVESTMENT COMPANIES
Topic 1 Hedge Fund
Topic 2 Performance Fee
展開全部
美國投資管理經典案例研究 作者簡介
姚承曦，姚承曦現任中國廣東汕頭大學商學院金融與證券監管學教授。教學與科研方向為中、美金融市場監管。任職汕頭大學之前，姚承曦在美國國家證券監管部門與證券業界工作近二十年。在監管部門，姚承曦歷任美國國家金融監管局(FINRA)法律總顧問處律師、納斯達克(NASDAQ)國際市場法律顧問、紐約股票交易所(NYSE)券商監管高級律師、紐約股票交易所亞太地區(包括中國)以及加拿大在美上市公司事務經理。在金融與證券業界，姚承曦先后任區域大型券商公司監察副總裁和資本市場法律顧問、區域大型銀行控股公司副總裁兼法律顧問。其后在全球最大共同基金富達投資集團任國際資本市場監管副總裁。
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