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这本书RAR解压缩后居然体积大了十倍，是不是表格和图形的原因？
Mutual Fund Industry Handbook-A Comprehensive Guide for Investment Professionals.pdf
Lee Gremillion
with assistance from PricewaterhouseCoopers
Foreword by John C. Bogle
Copyright © 2005 by The National Investment Company Service Association (NICSA) and
Acadient Incorporated. All rights reserved.
Published by John Wiley & Sons, Inc., Hoboken, New Jersey.
Published simultaneously in Canada.
Previously published by The National Investment Company Service Association in 2001 as
A Purely American Invention: The U.S. Open-End Mutual Fund Industry.
No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any
form or by any means, electronic, mechanical, photocopying, recording, scanning, or otherwise,
except as permitted under Section 107 or 108 of the 1976 United States Copyright Act, without
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Wiley & Sons, Inc., 111 River Street, Hoboken, NJ 07030, 201-748-6011, fax 201-748-6008,
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Limit of Liability/Disclaimer of Warranty: While the publisher and the author have used their
best efforts in preparing this book, they make no representations or warranties with respect to
the accuracy or completeness of the contents of this book and specifi cally disclaim any implied
warranties of merchantability or fi tness for a particular purpose. No warranty may be created
or extended by sales representatives or written sales materials. The advice and strategies
contained herein may not be suitable for your situation. You should consult with a professional
where appropriate. Neither the publisher nor the author shall be liable for any loss of profi t or
any other commercial damages, including but not limited to special, incidental, consequential,
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Library of Congress Cataloging-in-Publication Data
Gremillion, Lee L. (Lee Louis)
Mutual fund industry handbook : a comprehensive guide for investment
professionals / Lee Gremillion.
p. cm. — (Boston Institute of Finance series)
Includes bibliographical references and index.
ISBN-13: 978-0-471-73624-0 (cloth)
ISBN-10: 0-471-73624-4 (cloth)
1. Mutual funds—United States. I. Title. II. Series.
HG4930.G738 2005
332.63′27—dc22
2005016635
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 Defi nition 57
Chapter 5 The Investment Management Front Offi ce 83
Chapter 6 The Investment Management Back Offi ce 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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