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Skimming the investment pool: White-...

Peterson, Andrew.

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Skimming the investment pool: White-collar crime in the mutual fund industry.

Record Type:	Language materials, printed : Monograph/item
Title/Author:	Skimming the investment pool: White-collar crime in the mutual fund industry./
Author:	Peterson, Andrew.
Description:	218 p.
Notes:	Source: Dissertation Abstracts International, Volume: 71-06, Section: A, page: 2228.
Contained By:	Dissertation Abstracts International71-06A.
Subject:	Sociology, Criminology and Penology. -
Online resource:	http://pqdd.sinica.edu.tw/twdaoapp/servlet/advanced?query=3404760
ISBN:	9781124020518

Skimming the investment pool: White-collar crime in the mutual fund industry.
Peterson, Andrew.

Skimming the investment pool: White-collar crime in the mutual fund industry. - 218 p.

Source: Dissertation Abstracts International, Volume: 71-06, Section: A, page: 2228.

Thesis (Ph.D.)--University of California, Irvine, 2010.

This paper examines conditions and structures that led to abuses in the mutual fund industry. The goal is to provide an understanding of the cause of the scandal and its effects on investors, but also the regulatory response and reformation process. This dissertation breaks scandal down into three parts: its root causes, regulatory responses by the various actors, and attempts at reform and regulation. Each section is analyzed separately to answer key questions which can provide a holistic understanding of the market timing and late trading scandal.

ISBN: 9781124020518Subjects--Topical Terms:

1017569
Sociology, Criminology and Penology.

Skimming the investment pool: White-collar crime in the mutual fund industry.
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100 1 $a Peterson, Andrew. $3 1674696
245 1 0 $a Skimming the investment pool: White-collar crime in the mutual fund industry.
300 $a 218 p.
500 $a Source: Dissertation Abstracts International, Volume: 71-06, Section: A, page: 2228.
500 $a Adviser: Henry Pontell.
502 $a Thesis (Ph.D.)--University of California, Irvine, 2010.
520 $a This paper examines conditions and structures that led to abuses in the mutual fund industry. The goal is to provide an understanding of the cause of the scandal and its effects on investors, but also the regulatory response and reformation process. This dissertation breaks scandal down into three parts: its root causes, regulatory responses by the various actors, and attempts at reform and regulation. Each section is analyzed separately to answer key questions which can provide a holistic understanding of the market timing and late trading scandal.
520 $a The events unfolded in 2003 when a whistleblower alerted authorities to illegal and unethical trading practices between institutional investors and mutual fund companies. The whistleblower sought out Eliot Spitzer to report these crimes and Spitzer announced the first settlement alone and collaboration among regulators, or a lack thereof, became a theme during the scandal aftermath. The abuses included late trading, market timing, and excessive fees, with damages estimated at well over US $4 billion per year. Archival data are used to understand the regulatory conditions that allowed for illegal practices to proliferate throughout the mutual fund industry.
520 $a The findings from my research project should help advance our understanding of not only the mutual fund scandal, but financial scandals and white-collar crime as a whole. This work is important not just in its attempts to improve upon existing criminological, sociological, and economic theory, but also because financial scandals affect everyone and preventing them creates a more stable future.
590 $a School code: 0030.
650 4 $a Sociology, Criminology and Penology. $3 1017569
690 $a 0627
710 2 $a University of California, Irvine. $b Criminology, Law and Society - Ph.D. $3 1674697
773 0 $t Dissertation Abstracts International $g 71-06A.
790 1 0 $a Pontell, Henry, $e advisor
790 1 0 $a Jesilow, Paul $e committee member
790 1 0 $a Geis, Gil $e committee member
790 $a 0030
791 $a Ph.D.
792 $a 2010
856 4 0 $u http://pqdd.sinica.edu.tw/twdaoapp/servlet/advanced?query=3404760