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Mutual Fund Manager Definition Research Paper

… S. Securities and Exchange Commission, 2010b).

Managing Risk and Meeting Return Objectives

Mutual fund managers manage based on a specific investment objective. This investment objective determines which assets the fund manager decides to purchase. A fund may be broadly-based, with investments in both large- and small-cap companies across many different industries. Or the fund may have a narrower focus and concentrate only on blue chips, for example, or it may focus only on stocks in a single industry (TradeKing, 2011).

In addition to pursuing the fund's investment objective, the fund manager may follow a specific investing style. For example, a growth fund focuses primarily on stocks that are growing quickly and that appear to have greater than average potential for share price appreciation, whereas a…. [read more]

Risk Management in Hedge Funds Dissertation

… To become shrewd to reach total reappearance of the location instructions of hedge funds which are less controlled than those of mutual funds. Ever since hedge funds are less controlled likened to mutual funds, this stresses that the hedge fund directors own superior info that about the marketplace and the obtainable advantage lessons than the even fund directors (Cottier, 2000). Because of the assignments instructions being freer, the hedge funds will be more reliant on a liquid market, where both buyers and sellars that are ready to purchase and sell at fair market value (Ineichen,2003).

Figure 2: Kinds of investment vehicles are investors looking at.

The hedge fund business began to rise in sometime around the mid-sixties when Fortune magazine tinted this new financial vehicle…. [read more]

Mutual Fund Disclosure for the SEC Essay

… Mutual Fund Disclosure for the SEC

The Why of Regulation:

It is the general theory of economics that in the Capitalist society the government ought to follow the laissez faire policy and let market forces decide rather than compel the entities by regulations and controls. This was also applied to the stock exchanges and capital market. Thus in the earlier periods there were investors and 'mutual funds' had not been in vogue. In the U.S. during the early part of the 21st century, there was very little control of the securities and financial markets and until the stock market crash of 1929 occurred, the danger of unsupervised sales of securities, which also involved unscrupulous or incompetent issuers and other market participants, came to light. Thus…. [read more]

Hedge Fund Regulation Research Proposal

… Hedge Fund Regulation

The purpose of this document is to examine hedge fund regulation shift specifically as related to SEC regulations from systemic fraud fears begun in 1998 by the Failure of Long-Term Capital Management. This work will further examine the protection fears of investors resulting from the Bernie Madoff scandal and will examine as well systemic risk fears in recent financial crisis with emphasis on hedge funds. Toward these ends this work will examine online documentation available via the Internet

A 'hedge fund' is "a private investment vehicle that is less regulated than traditional investment companies." (Shadab, 2007)

Shadab explains that the hedge fund is thus named due to the role the fund plays in 'hedging' "against downturns in more conventional investments." (2007)

Historically,…. [read more]

New Regulatory Framework of Financial Institutions in the Aftermath of the Global Financial Crisis Research Paper

… New Regulatory Framework of Financial Institutions in the Aftermath of the Global

Financial Crisis

Over the last several years, the total amounts of regulation in the financial sector have been increasingly brought to the forefront. This is because of the elimination of key guidelines (i.e. The Glass Steagall Act) allowed firms to engage in tremendous amounts of speculation. What was happening is a number of banks had combined their operations with different brokerage firms. The basic idea was to offer consumers with greater amounts of products and services. (Rottman, 2008)

The newest and most popular was the adjustable rate loan (a.k.a. subprime mortgage). This is a home loan that was underwritten by U.S. government backed agencies (such as Fannie Mae and Freddie Mac). They would…. [read more]

Performance Evaluation of How Hedge Funds Research Proposal

… ¶ … Performance Evaluation of How Hedge Funds Can Be Used to Augment the Overall Efficiency in German Pension Funds

Much attention has been given to hedge funds over the last few years, but the industry itself remains to a large degree, opaque. A lack of clarity and understanding of how these funds work, what they do, and how they can be used in conjunction with other kinds of funds is at the forefront of the knowledge and beliefs of most people when it comes to these funds.

High and unseen risks are involved when investing in these vehicles. However, the returns generated have attracted the attention of a growing number of institutional investors, including those who work with pension funds. Past studies have suggested…. [read more]

Conflict of Interest Term Paper

… This procedure updates the price of securities to reflect information that emerges after the market closes. Unfortunately, most firms do not actually use fair-value pricing to eliminate opportunities for arbitrage. This leaves the funds vulnerable to market timers who seek to trade on, or arbitrage, stale prices, by buying fund shares at outdated prices and selling them a day or two later. A few firms actually do use delayed or confirmed exchanges to discourage speculators, forcing them to wait up to seven days to move money from one fund to another. Here again, though, very few firms actually enforce this sort of a policy. Another widespread trading abuse is late trading, where fund shares are bought and sold after the markets close. This practice is…. [read more]

Corporate Universities Investigation of Their Development Internationally in the Field Sector of Tourism Term Paper

… Corporate universities"-investigation of their development internationally in the field/sector of tourism.

In this paper, it will be discussed how corporate universities function internationally and otherwise. From there, their development process of tourism will be discussed and how it is affecting its organized culture. Going public will be addressed as an option in order to improve the development of tour. Finally, this paper will concluded the development has had many successes despite their slow start but will continue to defeat them.

Corporate universities fall under the direction of motivation by the following example, which helps them with the plans with the sector of tourism. "Corporate universities are created for different purposes. Some are developed to bring fresh life to the old training and development department. Others…. [read more]

Sarbanes-oxley. The Political Pressure Term Paper

… And last of all, the Securities and Exchange Commission was established.

The law was often referred to as the "truth in securities" law. According to the SEC's web site, the Securities Act of 1933 has two basic objectives:

require that investors receive financial and other significant information concerning securities being offered for public sale; and prohibit deceit, misrepresentations, and other fraud in the sale of securities.

This act was partly authored, ironically, by Joseph Kennedy, who was considered an expert in that he had made much of his money illegitimately through the sale of liquor. Although regulation enjoyed broad-based support, it had its opponents. The most prominent among them was the president of the New York Stock Exchange. However, he was soon silenced when it…. [read more]

EMH and Off Balance Sheet Financing Term Paper

… ¶ … EMH and off balance Sheet Financing

The studies over the fluctuations of prices in the stock markets have attracted researcher since a considerable period of time. Presently the financial market research have been an exciting field involving query of the past consequences and proposals of the new solutions. However, considerable debate is going on over the hypothesis of market efficiency. The speculative market strategy propounded by John Maynard Keynes necessitated complete reformulation in view of the unstable characteristics of the stock market. In view of its growing importance in the context of the stock market behavior the field of study of market efficiency worth detail analysis with reference to its emerging lines of thought. [the Efficient Market Hypothesis on Trial: A Survey] the…. [read more]

Employee Privacy Torts Issues Relating Research Paper

… If they are unable to lawfully withhold the information asked for, the act allows a complaint to be lodged in federal court since the right to access is enforceable.

The exemptions to this act are documents that are classified as secret because of national defense or foreign policy, documents related to internal personnel rules and practices, documents exempted by other statutes, trade secrets, confidential or privileged commercial or financial information, privileged inter and intra-agency memorandum, documents that would clearly lead to invasion of personal privacy, documents complied for law enforcement purposes, documents related to SEC regulated financial institutions and those which contain exempt information regarding gas and oil wells.

The act, however, does not apply to records held by the federal judiciary or the U.S.…. [read more]

Securities and Exchange Commission (SEC) Essay

… For example, when a company conducts an IPO, it is tapping the investing public for capital and is therefore using the capital markets. This is also true when a country's government issues Treasury bonds in the bond market to fund its spending initiatives (Sanusi,1984).

The laws that govern the securities industry in America stem from a simple concept: all investors, whether large institutions or private individuals, should have access to certain basic facts about an investment prior to buying it, and so long as they hold it. To achieve this, the SEC

requires public companies to disclose meaningful financial and other information to the public.

This provides a common pool of knowledge for all investors to use to judge for themselves whether to buy, sell,…. [read more]

Institutional Investment Research Proposal

… ¶ … Skill Hypothesis

The regulation and incentive hypothesis

The reasons as to why companies shun hedge mutual funds

In this paper we evaluate the question "Are hedge funds suitable for retail investors?." We use the relevant theory in showing the reasons as to why retail investors too can benefit from hedge funds. A conclusion is also provided

Hedge funds which is defined by Connor and Woo (2003,p.28) as an investment vehicle which is actively managed and pooled and is open to just a limited number of investors. The performance of hedge funds is measured using absolute term units. Agarwal, Boyson and Naik (2007,p.2) noted that in the recent past, companies have began offering funds using hedge funds as an option.They employ them as trading…. [read more]

Jp Morgan Chase Role Essay

… Presenting a case in this manner might possibly could have helped me prevail in the action of tort against the bank.

Automation of banking and security of transactions

In the modern era, as the technology progresses, all forms of businesses upgrade themselves so that the productivity time can improve. Similar has been the approach towards the advent of online and mobile banking. Bank customers can now easily conduct transactions over the internet from any location, and therefore, they have no need to go to banks to perform many mundane banking tasks. However, online and mobile banking always carries a threat of cyber security issues such as hack of bank accounts, credits numbers, personal financial information, etc., which the customer does not wish to disclose to…. [read more]

Financial Risk the Financial Ratio Essay

… With this in mind, the appropriate risk would need to have the ability to reach the goal at a target date. There would need to be enough risk to meet the goal with enough low risk investments to diversify any losses for the overall portfolio. The overall portfolio would require assets from all three asset categories and contain diversification within each of the asset categories.


Beginner's Guide to Asset Allocation, Diversification, and Rebalancing. (n.d.). Retrieved from SEC:

Buffett, W. (2010, Jan 7). Modern Portfolio Theory: Why It's Still Hip. Retrieved from Investopedia:

Derrick, J. (2012, Jan 30). Understanding Stocks: The Concept of Beta. Retrieved from benzinga: http"://'12/01/2300328/understanding-stocks-the-concept-of-beta

Kieso, D.E., Weygant, J.J., & Warfield, T.D. (2008). Full disclosure in Financial Reporting. In D.E.…. [read more]

Securities Regulation Securities Regularizations Thesis

… To get a clearer idea, it becomes important to consider some of the institutes which form a part of these NPO's. These, therefore, includes, "Schools, Hospitals, Charitable Institutions, welfare societies, clubs, public libraries, resident welfare association, sports club, etc.." [footnoteRef:15] [15: ]

They are increasingly becoming alternatives to the provision of facilities and activities as the Government continues to fail in many sectors due to the growing economic pressures and the impact of recession. In such conditions, NPO's as appeared as platforms that can help in catering to the many needs of the individuals in the society, including food, Education, Housing, and it is the provision of these needs that become the main purpose of these Organizations and is their defining line, which helps them…. [read more]

Enron's Misleading Accounting & Fraud Tactics Thesis

… Enron was the seventh-largest corporation in the world. Enron Company was divided into five distinct parts including; Wholesale Services, Transportation and Distribution, Broadband Services, Retail Energy Services, and Corporate and Other. By the late 1990's, Enron had gone from a gas pipeline company to an energy trading company and then to a company based on trading gas, oil, water, forest products, minerals, broadband, and any other product that could be made into a commodity. Ultimately, the company began trading derivatives. Derivatives are useful because they provide a hedge against future business risks such as hikes in oil prices, changes in interest rates. When used legitimately derivatives can be beneficial to a company. The paper endeavored to explain the tactics that Enron used to evade detection…. [read more]

Unethical/Criminal Conduct Following the Equities Term Paper

… Scope of the Study

The scope of the study is far-reaching and broad, as some of what applies to the equities market can also be applied to the stock market and some of the problems that market crashes there have caused. By looking at the far-reaching implications that illegal and unethical behavior can have on those that commit them and on the others that they deal with, as well as their families, it can be seen that there are many others that are affected by one person or company decides to do.

For this study, the scope will be large in that the issues could extend much farther than they already do, but the actual amount of information studied will remain limited to the equities…. [read more]

Boards of Directors, Corporate Governance and Market Term Paper

… Boards of Directors, Corporate Governance and Market Value of the Firm. Do Shareholder profit from Board Reforms driven by Regulators? Evidence from Switzerland

The concept of firm

The agency problem

Definition of corporate governance

Mechanisms of corporate governance

Literture review - Part II

Board of directors - introduction

Models of boards

One-tier vs. two-tier board model

The case of Switzerland

CEO duality

Outsider directors / board independence

Board size

Board committees

Interlocking directorates

Multiple board appointments

Frequency of board meeting

Board diversity

Regulatory development

The case of Switzerland

Board index

Board impact on firm valuation

Performance measure

Long-term equity return

Current board structure

Potential research problem

Ethical issues of the proposed research

Expected research outcomes


The proposed research focuses on a fundamental element of…. [read more]

Auditing Roman Holiday Case Study

… ¶ … Roman Holiday. For part one, do not only explain the general auditing concept and rules but also use the methodology to analyze the CASE FACT.

For part 2, please use the data provided by the case to calculate acceptable Accounting risk. And also follow the 3 requirements written in the assignment instructions, in addition, make a conclusion based on your result.

Accounting risk -AccR is accounting risk reflecting accounting uncertainties with respect to an accounting number (this is the risk associated with the lottery ticket illustration). AccR refers to uncertainties associated with the need to use estimates in accrual accounting. These uncertainties arise from the need to make predictions of the future in developing accounting estimates

Probability of Material Mistatement=PMM = AccR +…. [read more]

Sarbanes-Oxley Act While Most Americans Term Paper

… The means accountants who know a company well and can sense something amiss even before finding it will be replaced with auditors unfamiliar with the ebb and flow of the company (Criminalizing business 2002). That is tailor made for companies that really do have something to hide, but all companies are likely to act furtively anyway.

The article concludes, "The most egregious fault of Sarbanes-Oxley is the act's supposition that executives and accountants are crooks requiring government repression at all costs .... To be incorporated in the U.S. is proving to be a fatal business disadvantage" (Criminalizing business 2002; Bad stock market medicine 2002).

That may be the most egregious fault, but there are other unfortunate results as well, including the construction of a brand-new…. [read more]

Corporate Governance: A Review Essay

… , 2003). Increased need of capital resources to be raised from open markets has also led the importance of corporate governance to increase in recent years. Another aspect of corporate governance culture that has increasingly come to be scrutinized is the value-based governance and bottom line governance. Firms in Europe and specifically in the U.S. market have emphasized that their companies should reengage in value-based corporate governance (Du Plessis, et al., 2010; p. 11)In modern corporations, corporate governance arises through the severance of ownership and management control in the organizations.

Principles of Corporate Governance

Researchers have also identified the essential principles on which the conduct of corporate governance rests. These are:







Social responsibility (Du Plessis, et al., 2010).

Du…. [read more]

Switch to IAS IFRS the Challenge Presented by Goodwill Term Paper

… Switch to IAS/IFRS: The Challenge presented by Goodwill

As the months go by, European listed companies are discovering the upheavals involved in implementing IAS/IFRS from the FY 2005. The controversy surrounding IAS 39 (recognising and measuring financial instruments) has been a case of missing the forest for the trees; although there is no doubt that this standard is likely to have a major impact on companies in the financial sector, other IAS/IFRS standards are likely to impact just as much on the balance sheets of large industrial or retail groups. For example, there is IAS 22 (business combinations) and IAS 36 (impairment of assets) which will completely overhaul the way goodwill is treated - depreciation is replaced with the impairment test, which means a strict…. [read more]

New York Stock Exchange Identify Essay

… ¶ … New York Stock Exchange

Identify the major purposes of a stock exchange.

As implied by the name "stock exchange" the major purposes of a stock exchange include the buying and selling of stocks, bonds, and other securities. According to Investorwords, stock is defined as:

An instrument that signifies an ownership position (called equity) in a corporation, and represents a claim on its proportional share in the corporation's assets and profits. Ownership in the company is determined by the number of shares a person owns divided by the total number of shares outstanding. For example, if a company has 1000 shares of stock outstanding and a person owns 50 of them, then he/she owns 5% of the company. Most stock also provides voting rights,…. [read more]

Conservatism in Accounting Valuation Research Paper

… Conservatism in Accounting Valuation

Accounting is used to determine the financial health of a business or individual. As such, it is carefully regulated and those who practice it for compensation are required to have education and certification. There are various rules, laws, and principles that govern the business of accounting and that are commonly used in order to ensure that those who work as accountants are handling others' money and financial information correctly. Because there are only a few accepted methods of accounting, it is possible to learn them all and determine which one of them would be best for a client. That way, an accountant can help his or her client save the most money on taxes and create an accounting system that can…. [read more]

Saudi Stock Market Term Paper

… ¶ … Saudi Arabian Stock Market

Measuring Consumer Confidence in the Saudi Stock Market?

The Saudi Arabian stock market is heavily dependent upon oil as a key to its survival. From 2001 to 2006 the Saudi stock market experiences incredible growth. In the last part of 2005 the price of oil outpaces the Stock Index. This caused a drastic drop in the Saudi stock market. There are many theories as to the reasons and effects of the fall. The survey indicated that the effects were not as wide as they were at one thought. The markets are driven by consumer confidence. A recent survey of Saudi students in attendance at American universities indicates that consumer confidence is high and indicates that the markets are likely…. [read more]

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