Investment Products Deskbook: Banking Rules and Regulations

Editor: Goodwin Procter LLP Financial Services Group
Price: $525
Plus shipping and handling.
Sales Tax: for NY, TX, DC, CT orders only.

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The enormous growth in investment product offerings to consumers--such as mutual funds, annuities, and insurance products--is creating new business opportunities. Financial institutions are looking to the investment product business to increase profitability by generating additional fee income.

As banking institutions have begun to offer investment products to their retail and institutional customers, more layers of regulatory and compliance procedures have been added. Nonbanking organizations already familiar with investment products, but unfamiliar with the regulatory restrictions on banks, find themselves doing business with banks under new rules and regulations.

Mistakes in this area can be costly in terms of regulatory fines and negative publicity.
The Investment Products Deskbook can help both financial institutions and nonbanking institutions assess their opportunities and stay in compliance.

Investment Products Deskbook: Banking Rules and Regulations gives you an all-inclusive reference detailing applicable laws and regulations posed by the bank investment products market. It includes not only the current state of the law and business practice, but also offers practical suggestions for dealing with these issues with a focus on maximizing profits.

Investment professionals can use this resource everyday to answer questions that frequently arise when financial institutions offer investment products. The Deskbook covers:

The Gramm-Leach-Bliley Act
Employment Retirement Income Security Act of 1974 (ERISA)
Securities Law and Tax Law
Bank Trust Department Activities
Marketing, Advertising, and Account Management issues
Mutual Funds, Annuities/Insurance, Government and Municipal Securities and Derivatives
Marketing 401(k) and other employee benefit plans
Examination, Supervision, Training, and Compliance Requirements