Regulation of investment management & fiduciary services.

Updated periodically.

Regulation of investment management and fiduciary services clarifies the law governing the liability and compliance aspects of the investment and fiduciary business and provides comprehensive coverage and expert analysis of securities, banking and employee benefits laws, state and federal regulations, and compliance requirements. It also covers trust, ERISA, annuity, mutual funds, foreign fiduciary activities, environmental liability, and the Securities and Exchange Commission and includes guidance for the avoidance of fiduciary liability. Also included are numerous appendixes that cover statutes, regulations, ERISA, Uniform Acts, sample forms, fiduciary reports, banking services, Department of Labor investigation, state laws involving non-resident fiduciaries, and compliance policies.

Print version: Regulation of investment management and fiduciary services (2009)

English

May 06, 2015

Includes bibliographical references.

Electronic books.