Description

Book Synopsis
The Mutual Fund Industry Handbook is a remarkably important work... I am profoundly impressed by the broad and comprehensive sweep of information and knowledge that this book makes available to industry participants, college and business school students, and anyone else with a serious interest in this industry.

Table of Contents

Foreword ix

Acknowledgments xv

Chapter 1 Introduction to the Industry 1

Chapter 2 A Brief History of Mutual Funds in the United States 13

Chapter 3 Overview of Industry Structure 35

Chapter 4 The Mutual Fund—Product Definition 57

Chapter 5 The Investment Management Front Office 83

Chapter 6 The Investment Management Back Office 109

Chapter 7 Fund Accounting, Audit, Legal, and Other Support Functions 131

Chapter 8 Fund Distribution: The Broker Channel 159

Chapter 9 The Direct, Bank, and Institutional Channels 187

Chapter 10 Cross-Channel Issues: Advertising and Retirement Investing 207

Chapter 11 The Transfer Agent, Part 1—Shareholder Record Keeping 229

Chapter 12 The Transfer Agent, Part 2—Customer Service 271

Chapter 13 Other Service Providers 293

Chapter 14 Going Abroad: Open-End Funds Outside the United States 307

Chapter 15 Going Forward: Issues and Challenges 329

Notes 357

Index 373

Mutual Fund Industry Handbook

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    A Hardback by Lee Gremillion

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      Book details

      Publisher John Wiley & Sons Inc
      Published 23 September 2005
      ISBN-13 9780471736240
      978-0471736240
      ISBN-10 0471736244
      Also in:
      Investment and securities

      Description

      Book Synopsis
      The Mutual Fund Industry Handbook is a remarkably important work... I am profoundly impressed by the broad and comprehensive sweep of information and knowledge that this book makes available to industry participants, college and business school students, and anyone else with a serious interest in this industry.

      Table of Contents

      Foreword ix

      Acknowledgments xv

      Chapter 1 Introduction to the Industry 1

      Chapter 2 A Brief History of Mutual Funds in the United States 13

      Chapter 3 Overview of Industry Structure 35

      Chapter 4 The Mutual Fund—Product Definition 57

      Chapter 5 The Investment Management Front Office 83

      Chapter 6 The Investment Management Back Office 109

      Chapter 7 Fund Accounting, Audit, Legal, and Other Support Functions 131

      Chapter 8 Fund Distribution: The Broker Channel 159

      Chapter 9 The Direct, Bank, and Institutional Channels 187

      Chapter 10 Cross-Channel Issues: Advertising and Retirement Investing 207

      Chapter 11 The Transfer Agent, Part 1—Shareholder Record Keeping 229

      Chapter 12 The Transfer Agent, Part 2—Customer Service 271

      Chapter 13 Other Service Providers 293

      Chapter 14 Going Abroad: Open-End Funds Outside the United States 307

      Chapter 15 Going Forward: Issues and Challenges 329

      Notes 357

      Index 373

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