Download An Introduction to Fund Management (Securities Institute) by Ray Russell PDF

By Ray Russell

An creation to Fund administration introduces readers to the commercial reason for the life of money, the differing kinds on hand, funding suggestions and lots of different comparable concerns from the point of view of the funding supervisor. It provides an outline of the total company and explores the method and methods of fund administration, functionality dimension and fund management. This up to date version displays new regulatory adjustments and advancements.

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Extra resources for An Introduction to Fund Management (Securities Institute)

Sample text

In its work, the Panel and, in its application, the Code have implications for other bodies, notably the Competition Commission, the Office of Fair Trading (OFT ) and the EU Commission. The OFT has a significant responsibility to ensure the rulebooks of regulators are not anti-competitive, but unhelpfully can only exercise its powers after such rules are published. Hence, there was consternation and delays over efforts to introduce disclosure rules for non-life products in 1996. Other codes that have a bearing on how fund management companies carry out their business are: 40 AN INTRODUCTION TO FUND MANAGEMENT .

The price of such shares is, therefore, a function of supply and demand in the stock market and may be at a premium or discount to the underlying asset value per share. Open-Ended Investment Companies (OEICs) Open-Ended Investment Companies (OEICs) or Investment Companies with Variable Capital (ICVCs) are the newest form of collective investment scheme permitted in the UK, combining features of both unit trusts and investment trusts. They are companies with variable ROLE OF FUNDS 19 capital, established originally under special legislation drawn up under the European Communities Act 1972 but now under the Financial Services & Markets Act and the Open-Ended Investment Companies Regulations 2001 issued by the FSA.

If deficiencies are significant or if the firm fails to respond to findings in the desired fashion, the matter may be referred to the FSA’s Enforcement Division for further investigation and para-legal examination, which can result in censures, warnings, fines or withdrawal of permission to carry out regulated activities or some combination of all of the above. There is always the possibility that such referral produces vindication for the member firm and no action by the FSA, but disciplinary procedures are typically invoked only when the regulators are sure of their grounds.

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