Investment Management Regulation Statutory Supplement

Tamar Frankel

Clifford E Kirsch

Carolina Academic Press

Investment companies have become an important part of the financial system. This case book is designed to familiarize students with the special laws governing investment companies: their creation, structure, corporate governance, operations (including the distribution of shares and the management of the portfolios), dissolution and, time permitting, taxation. In particular, the case book focuses on the Investment Company Act of 1940 and on the practice in this area before the Securities and Exchange Commission.

Investment Management Regulation, Third Edition

Business & Money

Clifford E. Kirsh

Investing

Fathom Publishing Company

Open any newspaper and you are likely to find stories of financial scandals, frauds and questionable ethical behavior in the business and professional worlds. The latest and lasting scandals in corporate America touched the highest level of corporate management and professional firms raising the question of whether business leaders are being taught the value of trust and honesty. Yet the very fabric of our economic prosperity and social stability are woven with trust and honesty. Distrust and dishonesty are not new. However, we appear to be at a tipping point where we run the risk of a culture that accepts and justifies corporate abuse of trust and dishonesty. The consequences include higher costs, slower growth and less freedom. The goal of these course materials is to help students and seasoned practitioners recognize the ease with which trust and honesty can be lost, understand the impact of the business environment and social culture on trust and honesty, and explore measures to reinforce and, if necessary, restore trust and honesty in the business world. These course materials are founded on Trust and Honesty, American's Business Culture at a Crossroad (Frankel, 2006). The centerpiece of each module in this book is a case study drawn from actual business experience. Assigned readings from Trust and Honesty provide context for each teaching module. The case study assessments and discussions are used to highlight and illustrate the issues in more specific and practical terms. They demonstrate the complexity and indeterminacy of the issues. Role plays are provided with each module to provide the students with opportunities to test their ideas, simulate real life situations, manage tradeoffs and build consensus with their peers.

Trust and Honesty in the Real World

Mark Fagan

Business Culture

Fathom Pub. Co.

Fiduciaries appear in many laws, such as contract, tort, corporate law, agency, partnership, criminal law, employment law, property law. But rarely are the policies of the fiduciary law examined as such, and rarely are fiduciaries examined together in a systematic manner. This book offers a study of the fiduciary family members and the different rules that govern them.
 Even though fiduciary relationships are embedded in many legal categories, somehow they do not find a comfortable home in any category. Further, as diverse as fiduciary law is in terms of the contexts in which it arises, it is quite cohesive in terms of the problems it addresses, the principles it presents, and the solutions it mandates. The seemingly disparate rules, applicable to different types of fiduciaries, are in fact consistent with one another, reflecting the costs of verifying the fiduciaries statements and monitoring the fiduciaries actions. In a changing environment, a view of the foundations of fiduciary law helps shape fiduciary rules to new situations or relieve existing situations from legal restrictions. A study of fiduciary law assists students in predicting who the new members in the fiduciary family are likely to be, and which of the existing ones will die out.
 The book offers students a short survey of fiduciary law in time (from Hammurabi's Code 3,000 years ago) and in space (Europe, UK, Japan, China, Taiwan) and the concept of trust. The style of this book is a somewhat closer to books used in practice. In addition, it contains questions and problems drawn from newspapers, novels and other story sources that, when analyzed, reveal fiduciary relationships.

Fiduciary Law: Analysis, Definitions, Relationships, Duties, Remedies Over History and Cultures

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Books by Tamar Frankel