Other Publications by the Authors
Regulation of Money Managers: Mutual Funds and Advisers, 2nd Edition (Aspen, 2012, annually updated) Tamar Frankel and Ann Taylor Schwing.
This treatise is widely regarded as the most comprehensive and penetrating analysis of the regulation surrounding investment advisers and companies. It keeps professionals apprised of all significant new and proposed SEC rules, no-action letters and interpretive releases as well as important cases and relevant regulation from other agencies. Law Office Technology Review blog.
Trust and Honesty, America’s Culture at a Crossroad (Oxford University Press 2006) Tamar Frankel.
America's culture is moving in a new and dangerous direction, as it becomes more accepting and tolerant of dishonesty and financial abuse. Tamar Frankel argues that this phenomenon is not new; in fact it has a specific traceable past. During the past thirty years temptations and opportunities to defraud have risen; legal, moral and theoretical barriers to abuse of trust have fallen.
Trust and Honesty in the Real World (Fathom Publishing 2011) Mark Fagan and Tamar Frankel.
The goal of these course materials is to help students and seasoned practitioners recognize the ease with which trust and honesty can be lost, understand the impact of the business environment and social culture on trust and honesty, and explore measures to reinforce and, if necessary, restore trust and honesty in the business world. These course materials are founded on Trust and Honesty, American's Business Culture at a Crossroad (Frankel, 2006).
The Ponzi Scheme Puzzle, A History and Analysis of Con Artists and Victims (Oxford University Press 2012) Tamar Frankel.
Charles Ponzi perpetrated his infamous scheme almost a hundred years ago. But his method of using new investments to pay existing investors and finance a highflying lifestyle is alive and well: just as much money is lost in the United States today from Ponzi schemes as from shoplifting. Somehow, con artists are able to dazzle wealthy, educated individuals and sophisticated institutions and convince them to hand over huge sums of money. How?
Investment Management Regulation, Fifth Edition (Fathom Publishing 2015) Tamar Frankel and Kenneth E. Burdon
Investment companies and investment advisory services have become a significant part of the financial system. They host and manage most of the retirement assets in this country and have spread their services abroad as well. This case book is designed to prepare students to practice in this area, including sensitizing students to the possible changes in money management and the legal adjustments to these changes. This book deals with the laws governing investment companies: their creation, structure, corporate governance, operations (including the distribution of shares and the management of the portfolios) and dissolution. In particular, this case book focuses on new structures that have evolved in this area, such as ETFs and money market funds. The purpose of this book is to prepare students, and lawyers who are not familiar with the subject area, to provide effective advice. In addition, it focuses on practicing in this area before the Securities and Exchange Commission.
Fiduciary Law (Oxford University Press 2010) Tamar Frankel.
In Fiduciary Law, Tamar Frankel examines the structure, principles, themes, and objectives of fiduciary law. Fiduciaries, which include corporate managers, money managers, lawyers, and physicians among others, are entrusted with money or power. Frankel explains how fiduciary law is designed to offer protection from abuse of this method of safekeeping.
Legal Duties of Fiduciaries (Fathom Publishing 2012) Tamar Frankel.
Fiduciaries appear in many laws, such as contract, tort, corporate law, agency, partnership, criminal law, employment law, property law. But rarely are the policies of the fiduciary law examined as such, and rarely are fiduciaries examined together in a systematic manner. This book offers a study of the fiduciary family members and the different rules that govern them.
Open Meeting Laws 3d (Fathom Publishing Company 2011) Ann Taylor Schwing.
The two volumes are a complete open meeting law reference. Open meeting laws typically apply to all elected officials and all public or governmental bodies, as well as particular types of private corporations. This edition greatly expands the analysis and the collected statutes, cases and other materials, from 720 pages to 1288 pages, especially expanding the materials on electronic communications and open meeting litigation.
California Affirmative Defenses (2013 West Expert Series) (first published in 1988, updated annually).
Useful for both plaintiff's and defendant's counsel, California Affirmative Defenses provides expert analysis of available California affirmative defenses to help practitioners determine which defenses to consider and the best method of presenting them. Tightly organized and clearly written, this resource presents important strategic references for plaintiffs in drafting complaints, for defendants in answering or demurring, and for preparing and responding to summary judgment motions.