Collective Trusts and Other Commingled Funds: Law and Regulation

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A comprehensive explanation of collective and common trust funds, their structure and operations, and the extensive regulatory framework governing them for this rapidly growing financial field.
Written by two leading attorneys in the asset management field

Collective trusts funds and other commingled funds comprise a major—and rapidly growing—segment of the asset management and pension fields.  However, to date, little guidance has been available to practitioners for the day-to-day issues and problems they may confront in dealing with these investment vehicles.  Collective Trusts and Other Commingled Funds: Law and Regulation addresses this need by providing a comprehensive explanation of collective and common trust funds, their structure and operations, and the extensive regulatory framework governing them.  In addition, the book provides extensive primary source materials as appendices.

The book provides practical guidance and is useful for lawyers, compliance personnel, sales executives, regulators and any other professionals working with collective and common trust funds.

Topics covered include:

•    Structure and Operations of Commingled Funds
•    Advantages and Disadvantages
•    Key Documents
•    Portfolio Management and Trading
•    Sales and Distribution Activities
•    Banking, Securities and ERISA Regulation
•    Key Accounting and Tax Issues
•    Latest Trends and Developments
Additional Information
SKU 733ONL
Division Name Law Journal Press
Volumes 1
Product Types Books
Brand Law Journal Press
Publication Date March 31, 2015
Jurisdiction National
ISBN 978-1-58852-389-1
Page Count 502
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Thomas P. Lemke

Thomas P. Lemke
is an asset management executive with more than thirty years’ experience. Most recently, he was General Counsel and Head of Governance for a global asset management firm. He previously was a partner in a major law firm where his practice specialized in investment management and broker-dealer matters. He also spent several years counseling an investment management firm and a bank, including serving as General Counsel and Chief Operating Officer of a mutual fund firm. Mr. Lemke started his career at the Securities and Exchange Commission, where he last served as Chief Counsel of the Division of Investment Management. He received his J.D. in 1979 from the Washington College of Law, The American University.
Gerald T. Lins
Gerald T. Lins is General Counsel of Voya Investment Management (formerly ING U.S. Investment Management), which comprises several investment advisory entities managing a wide variety of investment strategies and vehicles. Mr. Lins has also been in charge of legal matters for a number of major asset managers and fund complexes and also spent several years in private practice, concentrating on general corporate law matters and the regulation of investment companies, investment advisers, and other financial service providers. Prior to that, Mr. Lins was a staff attorney in the Office of Chief Counsel in the SEC’s Division of Investment Management, where he had a broad range of experience with the regulation of investment companies and investment advisers under the federal securities laws. He received his J.D. in 1984 from Harvard Law School.

Table of Contents

Title

Copyright

Preface

About the Authors

Chapter 1

Introduction

§ 1.01         General

§ 1.02         Types of Commingled Funds

[1]          Collective Trust Funds

[2]          Common Trust Funds

[3]          Group Trusts

§ 1.03         Brief Background and History of Collective and Common Trust Funds

§ 1.04         Commingled Fund Advantages

§ 1.05         Commingled Fund Disadvantages

CHAPTER 2

Structure of Commingled Funds

§ 2.01         Collective Trust Funds

[1]          Eligible Investors

[2]          Ineligible Investors

§ 2.02         Collective Trust Fund Structures

[1]          “Unitized”Funds

[2]          Open Architecture/Third-Party Sub-Advisers

[3]          Funds of Funds

[4]          Multi-Class Structure

[5]          Master-Feeder

§ 2.03         Group Trusts

CHAPTER 3

Operation of Collective Trust Funds

§ 3.01         Establishment,Operation

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