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Mutual funds can be penalised for violating norms. Mutual funds dealing exclusively with the money market must register with the Reserve Bank of India. In 1995, private firms were allowed to enter the money market in India and deal with treasury bills, commercial papers, certificates of deposit etc. These are called Money Market Mutual Funds ...
Module 9: Funds Management Regulation; Module 10: Asset and Funds Management; Module 11: Fundamentals of Compliance; Module 12: Investment Management and Corporate Finance; Module 14: Futures and Options; Module 16: Rules and Regulations of Futures and Options; Module 17: Securities and Derivatives Trading (Rules and Regulations)
The Investment Company Act of 1940 (commonly referred to as the '40 Act) is an act of Congress which regulates investment funds.It was passed as a United States Public Law (Pub. L. 76–768) on August 22, 1940, and is codified at 15 U.S.C. §§ 80a-1–80a-64.
A mutual fund is an investment fund that pools money from many investors to purchase securities.The term is typically used in the United States, Canada, and India, while similar structures across the globe include the SICAV in Europe ('investment company with variable capital'), and the open-ended investment company (OEIC) in the UK.
Investment: Bullion is a popular investment option in India, and investors can purchase physical bullion or invest in bullion-based financial products such as exchange-traded funds (ETFs) or mutual funds. The regulation of bullion-based financial products falls under the purview of the Securities and Exchange Board of India (SEBI).
The Securities and Exchange Board of India (SEBI) was first established in 1988 as a non-statutory body for regulating the securities market.Before it came into existence, the Controller of Capital Issues was the market's regulatory authority, and derived power from the Capital Issues (Control) Act, 1947. [6]
These regulations apply to all pooled investment funds registered in India which received capital from Indian or foreign investors. [1] These were made to regulated funds that were not covered under the SEBI (Mutual Funds) Regulations, 1996; SEBI (Custodian Of Securities) Regulations, 1996 and any other regulations of SEBI. [2]
Fund governance became a major fund servicing industry following the 2008 financial crisis “spurred (by) several media reports arguing that professional directors must be too busy to provide the appropriate level of monitoring for their clients.” [14] Consequently, many fund governance firms proliferated in response to perceived demand for ...