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Keywords: Fund
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Journal Articles
China’s asset management industry: mapping the global landscape
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2020) 21 (2-3): 93–96.
Published: 04 December 2020
... for Chinese asset management companies to invest in. Practical implications This article aims to keep foreign asset managers updated of new rules regarding financial market liberalization in China and help them to expand business in Shanghai. This article also gives a brief introduction on the fund...
Journal Articles
CFTC harmonization rules: CPOs of RICs benefit from “substituted compliance”
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (1): 17–24.
Published: 27 February 2014
... rules Registered investment company (RIC) Fund CFTC Rule 4.5 CFCs The Commodity Futures Trading Commission (“CFTC”) adopted highly-anticipated rules with respect to certain disclosure, reporting and recordkeeping obligations of commodity pool operators (“CPOs”) of commodity pools...
