Fund Governance: Legal Duties of Investment Company Directors

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663ONL

This book includes a fund board's legal duties under the federal securities laws/state corporate and trust law. It examines the impact of statutes and regulations, SEC guidance, and court cases.

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Fund Governance: Legal Duties of Investment Company Directors is a comprehensive, authoritative and practical treatment of the legal obligations of mutual fund and closed-end fund directors, the special duties of independent directors, and fund governance best practices.

This treatise provides detailed coverage of a fund board's legal duties under the federal securities laws and state corporate and trust law. It examines the impact of statutes and regulations, SEC guidance, court cases, and best practices in the context of fiduciary duty requirements, board structure and operations, audit committees, advisory and distribution arrangements, affiliated transactions, and other aspects of fund management. It also addresses the special requirements for closed-end fund and money market fund directors, as well as director indemnification and insurance issues. Filled with insight, and featuring more than 30 forms and charts, Fund Governance: Legal Duties of Investment Company Directors looks closely at challenging questions that often arise.

Book #00663; looseleaf, one volume, 980 pages; published in 2001, updated as needed; no additional charge for updates during your subscription. Looseleaf print subscribers receive supplements. The online edition is updated automatically. ISBN: 978-1-58852-102-6

Additional Information

Additional Information
SKU	663ONL
Division Name	LJP
Volumes	1
Product Types	Books
Brand	LJP
Jurisdiction	National
ISBN	978-1-58852-102-6
Page Count	0
Edition	0

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Author Info

Robert A. Robertson

Robert A. Robertson is a partner with the Financial Services Practice Group of Dechert LLP, an international law firm. He regularly counsels investment advisers, mutual funds, closed-end funds, fund boards of directors, private funds and institutional investors. Mr. Robertson is Chair of the American Bar Association's Subcommittee on Investment Companies and Investment Advisers. He is also an Advisory Board Member of the Mutual Fund Directors Forum. He served as an attorney with the Securities and Exchange Commission from 1990 through 1997, where his most recent position was counselor to Commissioner Isaac C. Hunt, Jr.Mr. Robertson is a frequent lecturer and has written numerous articles on securities law topics. His articles have appeared in such publications as the Business Lawyer the Investment Lawyer the Stanford Journal of Law, Business & Finance, the Review of Securities & Commodities Regulation,The National Law Journal, and the Washington Post. Mr. Robertson is a graduate of Claremont McKenna College (B.A.), Loyola Marymount University (M.B.A.), and UCLA Law School (J.D.).

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