literature review of mutual fund

The Management of Mutual Funds pp 37–59 Cite as

Review of Literature

• G. V. Satya Sekhar MBA,Ph.D 2  
• First Online: 13 November 2016

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The fundamental aim of this chapter is to understand the management of mutual funds in the following areas:

• Corporate Governance
• Data Envelopment Analysis
• Mutual Fund
• Fund Manager
• Portfolio Management

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Investment Company Institute, Global Corporate Governance Issues for Mutual Funds’, 2000.

S.K. Barua, J.R. Varma and N. Venkiteswaran (1991), “A Regulatory Framework for Mutual Fund”, Economic and Political Weekly , Special issue on Review of Management and Industry, Vol. 26, No. 21, May 25, 55–59.

J.C. Verma (1994), Merchant Banking and Financial Services , Taxmann Publishers Ltd, New Delhi.

Vaid Seema (1994), ‘Mutual Fund Operations in India, Rishi Publications, New Delhi.

Eric Doiter (2015), Disentangling Mutual Fund Governance From Corporate Governance, 5 Harvard Business Law Review (Fall).

Mohan Rao P (1998), ‘Working of Mutual Fund Organizations in India’, Kanishka Publishers, New Delhi.

Martin E. Lybecker (2005), Enhanced Corporate Governance for Mutual Funds: A Flawed Concept that Deserves Serious Reconsideration, 83 Wash. U. L. Q. 104.

Khurshid SMZ, Rohit and Sing GP (2009), “ Level and trends of competition among the mutual funds in India”, Research Journal of Business Management, Vol. 3. Issue 2, 47–67.

Stephen Erlichman (2000), ‘Making it Mutual: Aligning the Interests of Investors and Managers: Recommendations for a Mutual Fund Governance Regime for Canada, ‘Prepared for the Canadian Securities Administrators’. “Towards Improved Fund Governance: The Way Forward”, Foreword to the Report, (July 27).

Yu, Ping, Corporate Governance of Chinese Fund Management Companies (August 26, 2011). Available at SSRN: http://ssrn.com/abstract=1917426 or http://dx.doi.org/10.2139/ssrn.1917426.

Jingjing Yang, Jing Chi, and Martin Young (2011), A review of corporate governance in China, Crawford School of Economics and Government, The Australian National University and Blackwell Publishing Asia Pty Ltd, doi:10.1111/j.1467-8411.2011.01283.x.

Jay C. Hartzell, Tobias M Uhlhofer and Sheridan D. Titman (2010), Alternative Benchmarks for Evaluating Mutual Fund Performance, Real Estate Economics, V38 1: pp. 121–154 DOI: 10.1111/j.1540-6229.2009.00253.x.

Berk A. Sensoy (2009), Performance evaluation and self-designated benchmark indexes in the mutual fund industry, Journal of Financial Economics 92, pp. 25–39.

Theodore Prince and Frank Bacon (2010), Analysing Mutual Fund Performance Against Established Performance Benchmarks: A Test of Market Efficiency, Research in Business and Economics Journal, Volume 1—February.

Arnold L. Redman*, N.S. Gullett* and Herman Manakyan (2000), The Performance of Global and International Mutual Funds, Journal of Financial and Strategic Decisions Volume 13 Number 1 Spring.

Grinblatt and Titman (1992), The persistence of mutual fund performance, Journal of Finance, Vol. 47, Issue 5, Dec, pp. 1977–84.

Alberto Bertoni, Giorgio Bertinetti, and Chiara Cesari (2005), Mutual-Fund Benchmarking and Market Bubbles: A Behavioural Approach, Transition Studies Review, 12 (1): 36 43

Eun, C.S., R. Kolodny and B.G. Resnick (1991), “U.S. Based International Mutual Funds: A Performance Evaluation,” The Journal of Portfolio Management 17, Spring, 88–94.

Bruce A Costa, Keith Jakob, Scott J Niblock and Elisabeth Sinnewe (2015), ‘Benchmarking’ the benchmarks: How do risk-adjusted returns of Australian mutual funds and indexes measure up?, Journal of Asset Management 16, pp. 386–400 , doi:10.1057/jam.2015.29.

Alex Frino and David R. Gallagher (2002), ‘Is Index Performance Achievable?: An Analysis of Australian Equity Index Funds’, Abacus, Vol. 38(2): pp. 200–214.

David E Allen and Victor Soucik (2003), Some Evidence on the performance benchmarking of Australian Fixed Interest Funds, Proceedings of Modelling and simulation society of Australia and New Zealand International Congress on Simulation, pp. 1221–26

Massimo Massa and Lee Xhang (2008), ‘The Effects of Organizational Structure on Asset Management, http://ssrn.com/abstract=1328189 .

Manuel Ammann and Michael Verhofen (2008), ‘The Impact of Prior Performance on the Risk-Taking of Mutual Fund Manager’. Annals of Finance, Issue 5, pp. 69–90.

David M Smith (2009), ‘The Economics of Mutual Funds’, Chapter-3 of forthcoming in John A Haslem (ed.) ‘A Companion to Mutual Funds’, John Wiley Sons, USA.

Lalik K Bansal (1997), “Mutual Fund- Management and Working’, Deep & Deep Publishers, New Delhi.

Diane Del Guercio and Paula A. Tkac (2000), The Determinants of the Flow of Funds of Managed Portfolios: Mutual Funds versus Pension Funds, Federal Reserve Bank of Atlanta Working Paper 2000–21 November.

Zhao, Yonggan, A Dynamic Model of Active Portfolio Management and Mutual Fund Performance Evaluation (March 2005). Available at SSRN: http://ssrn.com/abstract=685683 or http://dx.doi.org/10.2139/ssrn.685683 .

Treynor Jack L and Mazuy, Kay K (1966), “Can Mutual Funds Outguess the Markets”, Harvard Business Review, 44:, pp. 131–36.

Bauman, W. S., & Miller, R. E. (1995), Portfolio Performance Rankings in Stock Market Cycles. Financial Analysts Journal, 51, pp. 79–87.

Yoon K Choi, (2006) Relative Portfolio Performance Evaluation and Incentive Structure, Journal of Business, Vol. 79, No. 2, pp. 903–21.

Eleni Thanou (2008), “Mutual Fund Evaluation During Up and Down Market Conditions: The Case of Greek Equity Mutual Funds”, International Research Journal of Finance and Economics, Issue 13.

Mohit Gupta and Navdeep Aggarwal (2009), ‘Mutual Fund Portfolio Creation using Industry Concentration’, The ICFAI Journal of Management Research, Vol. Viii, No. 3, 2009, pp. 7–20.

Sandra Ramirez, Jesus Sierra Jimenez and Jonathan Witmer(2015), Canadian Open-End Mutual Funds: An Assessment of Potential Vulnerabilities, Bank of Canada, Financial system review, June pp. 47–55

Friend, I., F.E. Brown, E.S. Herman and D. Vickers (1962), A Study of Mutual Funds, U.S. Government Printing Office, Washington, D.C.

Sharpe, William F (1964), “Capital Asset Prices: A Theory of Market Equilibrium under conditions of Risk’, Journal of Finance, 19: Sept, pp. 225–42.

Treynor Jack L (1965), “How to rate management of investment funds?’, Harvard Business Review, Vol. 43, pp. 63–75.

Treynor Jack L and Mazuy, Kay K (1966), “Can Mutual Funds Outguess the Markets”, Harvard Business Review, 44: 131–36.

Michel C Jensen (1967), “The Performance of Mutual Funds in the Period 1945–64”, Journal of Finance, Vol. No. 23, No. 2, pp. 389–416.

Born Karn Eric (1983), ‘International Banking in the 19th and 20th Centuries, New York: St. Martin’s Press.

Fama Eugene F. (1972), “Components of Investment Performance”, Journal of Finance, 27: pp. 551–67.

Dunn, P. C., &Theisen, R. D (1983), “How consistently do active managers win?” Journal of Portfolio Management, 9, pp. 47–51.

Eun, C.S., R. Kolodny and B.G. Resnick (1991), “U.S. Based International Mutual Funds: A Performance Evaluation,” The Journal of Portfolio Management 17, Spring, pp. 88–94.

Barua SK and Varma JR (1993b), “Speculative Dynamics: The Case of Master shares”, Advances in Financial Planning and Forecasting, Vol.5, Jai Press, Greenwich CT, USA.

Droms, W.G. and D.A. Walker, “Investment Performance of International Mutual Funds,” Journal of Financial Research 17, Spring 1994, pp. 1–14.

Volkman, D. A., &Wohar, M. E. (1995), “Determinants of Persistence in Relative Performance of Mutual Funds”, Journal of Financial Research, 18, pp. 415–30.

Elton, Edwin J, Martin J Gruber and Christopher R Blake (1996), “Market Timing Ability and Volatility Implied in investment Newsletters’ Asset Allocation Recommendations’, Journal of Financial Economics, 42, pp. 397–421.

Jayadeve M (1996), “Mutual Fund Performance: An Analysis of Monthly Returns”, Finance India, Vol. X, No. 1, March, pp. 73–84.

Carhart, M. M. (1997), “Persistence in Mutual Fund Performance,” Journal of Finance, 52, pp. 57–82.

Jow-Ran Chang, Mao-Wei Hung & Cheng-few Lee (2003), “An Intertemporal CAPM approach to Evaluate Mutual Fund Performance”, Review of Quantitative Finance and Accounting, 20, pp. 425–33.

Alexander T Obeid (2004), “A modified approach for Risk-adjusted performance attribution”, Financial markets and portfolio management’, Vol. 18, 2004, No. 3, pp. 285–305.

Martin Eling (2006), “Performance Measurement of Hedge Funds using Data Envelopment Analysis”, Financial Markets and Portfolio Management, Vol. 20, pp. 442–471.

George Comer (2006), ‘Hybrid Mutual Funds and Market Timing Performance, Journal of Business, Vol. 79, No. 2, pp. 771–97.

Yoon K Choi (2006), Relative Portfolio Performance Evaluation and Incentive Structure, Journal of Business, Vol. 79, No. 2, pp. 903–21.

Ramesh Chander (2006), “Informational Efficiency, Parameter Stationarity and Bench Mark Consistency of Investment Performance, The ICFAI Journal of Applied Finance, March.

Gajendra Sidana (2007), “Classifying Mutual Funds in India: Some results from clustering”, Indian Journal of Economics and Business, Vol.II. No.2.

Coates John C. and Hubbard Glenn R (2007), ‘Competition in the mutual fund industry: Evidence and implications for policy’, Discussion paper No. 592, Aug, Source: http://ssrn.com/abstract=1005426 .

Cehng-Ru Wu, Hsin-Yuan Chang & Li-Syuan Wu (2008), “A Framework of assessable mutual fund performance, Journal of Modeling in Management, Vol. 3, No. 2, pp. 125–39.

Manuel Ammann and Michael Verhofen (2008), ‘The Impact of Prior Performance on the Risk-Taking of Mutual Fund Manager’ Annals of Finance, Issue 5, pp. 69–90.

Onur Arugaslan, Ed Edwards, Ajay Samant (2008), ‘Risk-adjusted Performance of International Mutual Funds’, Managerial Finance, Vol. 34, No. 1, pp. 5–22.

Qiang Bu and Nelson Lacey (2008), ‘On Understanding Mutual fund terminations’, Journal of Economics and Finance, Vol. 33, pp. 80–99.

Baker Kent H, John A. Haslem and David M Smith, “Performance and Characteristics of Actively Managed Institutional Equity Mutual Funds”, Electronic copy source: http://ssrn.com/abstract=1124577 .

Khurshid SMZ, Rohit and Sing GP (2009), “ Level and trends of competition among the mutual funds in India”, Research Journal of Business Management’, Vol3. Issue 2, pp. 47-67.

Sunil Wahal and Alber (Yan) Wang (2010), ‘Competition among Mutual Funds’, Journal of Financial Economics, March, source: http://ssrn.com/abstract=1130822 .

Statman M (2000), ‘Socially responsible Mutual Funds’, Financial Analysts Journal, Vol. 56, pp. 30–38.

Elango (20003), ‘Which fund yields more returns? A Comparative analysis on the NAV Performance of Select Public v/s Private/Foreign Open-ended Mutual Fund Schemes in India, Mutual Funds.

Modigliani, Franco and Modigliani, Leah(1997), “ Risk Adjusted Performance”, Journal of Portfolio Management, pp. 45–54

Huang, Lixin and Kale, Jayant R., Product Market Linkages, Manager Quality, and Mutual Fund Performance (September 10, 2012). forthcoming in the Review of Finance. Available at SSRN: http://ssrn.com/abstract=1429431 or http://dx.doi.org/10.2139/ssrn.1429431 .

Wermers, Russ, Is Money Really ‘Smart’? New Evidence on the Relation Between Mutual Fund Flows, Manager Behaviour, and Performance Persistence (May 2003). Available at SSRN: http://ssrn.com/abstract=414420 or http://dx.doi.org/10.2139/ssrn.414420 .

Kacperczyk, Marcin T. and Seru, Amit, Fund Manager Use of Public Information: New Evidence on Managerial Skills. Sauder School of Business Working Paper. Available at SSRN: http://ssrn.com/abstract=623102 or http://dx.doi.org/10.2139/ssrn.623102 .

Cuthbertson, Keith and Nitzsche, Dirk and O’Sullivan, Niall, A Review of Behavioural and Management Effects in Mutual Fund Performance (January 28, 2016).

International Review of Financial Analysis. Available at SSRN: http://ssrn.com/abstract=2723890 .

Amisano, Gianni and Savona, Roberto, Imperfect Predictability and Mutual Fund Dynamics: How Managers Use Predictors in Changing Systematic Risk (March 2008). ECB Working Paper No. 881. Available at SSRN: http://ssrn.com/abstract=1103484 .

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Massimo Massa and Lee Xhang (2008) “The Effects of Organizational Structure on Asset Management”, http://ssrn.com/abstract=1328189

Ammann, M. and Verhofen, M. (2008) “The Impact of Prior Performance on the Risk-Taking of Mutual Fund Manager”, Annals of Finance, No 5, pp. 69–90.

Smith, D.M. (2009) “The Economics of Mutual Funds”, Chapter-3 of forthcoming in John A Haslem (ed.) ‘A Companion to Mutual Funds’, John Wiley Sons, USA.

Choi, Y.K. (2006) “Relative Portfolio Performance Evaluation and Incentive Structure”, Journal of Business, Vol. 79, No. 2, pp. 903–21.

Gupta, M. and Aggarwal, N. (2009) “Mutual Fund Portfolio Creation Using Industry Concentration”, The ICFAI Journal of Management Research, Vol. Viii, No. 3, pp. 7–20.

Sharpe, William F. (1964) “Capital Asset Prices: A Theory of Market Equilibrium under Conditions of Risk”, Journal of Finance, 19: Sept, pp. 225–242.

Treynor, J.L (1965) “ How to Rate Management of Investment Funds”, Harvard Business Review, Vol. 43, pp. 63–75.

Treynor, J.L. and Mazuy, K.K. (1966) “Can Mutual Funds Outguess the Makrets”, Harvard Business Review, Vol. 44, pp. 131–136.

Jensen, M.C. (1967) “The Performance of Mutual Funds in the Period 1945–64”, Journal of Finance, Vol. 23, No. 2, pp. 389–416.

Fama, E.F. (1972) “Components of Investment Performance”, Journal of Finance, Vol. 27, pp. 551–567.

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Sekhar, G.V.S. (2017). Review of Literature. In: The Management of Mutual Funds . Palgrave Macmillan, Cham. https://doi.org/10.1007/978-3-319-34000-5_2

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AN ANALYTICAL REVIEW OF THE LITERATURE ON PERFORMANCE EVALUATION OF MUTUAL FUNDS IN INDIA

Mutual Funds have evolved as an important investment option in the 21 st century. Its funds shareholding is increasing manifold year by year. Mutual Funds are effective and efficient and are gaining popularity among investors because of their convenient nature and easy operations with good returns. Therefore seeing the relevance of the topic, there is a need to do a review of literature and research done in the past on mutual funds. All the aspects of mutual funds have been covered namely Performance evaluation, Investor perception and relevance, History and evolution of Mutual funds, Selectivity and Market timing performance and Sector Funds. A Chronological study has been done. The most widely researched upon aspect of the mutual funds is " Performance Evaluation ". Researchers have compared the top – mutual fund houses of various times and compared public and private mutual funds. This helps the investor in the formulation of growth trends so that he may be able to forecast the future and increase his wealth. Investors were resistant to mutual funds in 1990s but their perception has changed relatively now. Mutual funds are rapidly emerging as an investment option due to the tax benefits associated with them.

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A mutual fund is a trust that pools the savings of a number of investors who share a common financial goal. The money thus collected is then invested in capital market instruments such as shares, debentures and other securities. The income earned through these investments and the capital appreciation realized is shared by its unit holders in proportion to the number of units owned by them. Thus, a mutual fund is the most suitable investment for the common man as it offers an opportunity to invest in a diversified, professionally managed basket of securities at a relatively low cost. The mutual fund industry in India was started in the year 1963 with the formation of Unit Trust of India. This industry was privatized in the year 1993. The wide variety of schemes floated by these mutual fund companies gave wide investment choice for the investors. Among wide variety of funds equity diversified fund is considered as substitute for direct stock market investment. In this research paper an attempt is made to analyze the performance of the growth oriented equity diversified schemes on the basis of return and risk evaluation. The analysis was achieved by assessing various financial tests like Average Return, Sharpe Ratio, Treynor Ratio, Standard Deviation, Beta and Coefficient of Determination (R 2). The data has been taken from various websites of mutual fund schemes and from amfiindia.com. The analysis depicts that majority of funds selected for study have outperformed under Sharpe Ratio as well as Treynor Ratio.

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Literature review analysis and study on current status of mutual fund market in India

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Rallybio announces fnait systematic literature review to be presented at the amcp 2024 annual meeting.

Rallybio Corporation (Nasdaq: RLYB), a clinical-stage biotechnology company committed to identifying and accelerating the development of life-transforming therapies for patients with severe and rare diseases, today announced that data from a systematic literature review assessing the frequency of fetal and neonatal alloimmune thrombocytopenia (FNAIT) risk among pregnant mothers will be presented at the Academy of Managed Care Pharmacy (AMCP) 2024 Annual Meeting in New Orleans from April 15 th to 18 th . Rallybio is developing RLYB212, a novel human monoclonal anti-HPA-1a antibody designed to prevent alloimmunization in at-risk pregnant mothers, thereby eliminating the risk of FNAIT and its potentially devastating consequences in fetuses and newborns.

Details of the poster presentation are as follows:

• Title: Fetal and Neonatal Alloimmune Thrombocytopenia: A Systematic Literature Review and Meta-analysis of Adverse Pregnancy-Related Outcomes to Support the Development of a Novel Prophylactic Therapeutic
• Presenting Author: Andrea V. Margulis, RTI Health Solutions
• Poster Number: P1
• Poster Session Date and Time: April 17, 2024, 1:00 - 2:30 p.m. CDT (2:00 - 3:30 p.m. EDT)

Additional information about the AMCP 2024 Annual Meeting is available at: https://amcpannual.org/

About FNAIT

Fetal and Neonatal Alloimmune Thrombocytopenia (FNAIT) is a potentially life-threatening rare disease that can cause uncontrolled bleeding in fetuses and newborns. FNAIT can arise during pregnancy due to an immune incompatibility between an expectant mother and her fetus in a specific platelet antigen called human platelet antigen 1, or HPA-1.

There are two predominant forms of HPA-1, known as HPA-1a and HPA-1b, which are expressed on the surface of platelets. Individuals who are homozygous for HPA-1b, meaning that they have two copies of the HPA-1b allele and no copies of the HPA-1a allele, are also known as HPA-1a negative. Upon exposure to the HPA-1a antigen, these individuals can develop antibodies to that antigen in a process known as alloimmunization. In HPA-1a negative expectant mothers bearing a HPA-1a positive fetus, alloimmunization can occur upon mixing of fetal blood with maternal blood. When alloimmunization occurs in an expectant mother, the anti-HPA-1a antibodies that develop in the mother can cross the placenta and destroy platelets in the fetus. The destruction of platelets in the fetus can result in severely low platelet counts, or thrombocytopenia, and potentially lead to devastating consequences including miscarriage, stillbirth, death of the newborn, or severe lifelong neurological disability in those babies who survive. There is currently no approved therapy for the prevention or prenatal treatment of FNAIT.

About Rallybio

Rallybio (Nasdaq: RLYB) is a clinical-stage biotechnology company with a mission to develop and commercialize life-transforming therapies for patients with severe and rare diseases. Rallybio has built a broad pipeline of promising product candidates aimed at addressing diseases with unmet medical need in areas of maternal fetal health, complement dysregulation, hematology, and metabolic disorders. The Company has two clinical stage programs: RLYB212, an anti-HPA-1a antibody for the prevention of fetal and neonatal alloimmune thrombocytopenia (FNAIT) and RLYB116, an inhibitor of complement component 5 (C5), with the potential to treat several diseases of complement dysregulation, as well as additional programs in preclinical development. Rallybio is headquartered in New Haven, Connecticut. For more information, please visit www.rallybio.com and follow us on LinkedIn and Twitter .

Forward-Looking Statements

This press release contains forward-looking statements that are based on our management’s beliefs and assumptions and on currently available information. All statements, other than statements of historical facts contained in this press release are forward-looking statements. In some cases, forward-looking statements can be identified by terms such as “may,” “will,��� “should,” “expect,” “plan,” “anticipate,” “could,” “intend,” “target,” “project,” “contemplate,” “believe,” “estimate,” “predict,” “potential” or “continue” or the negative of these terms or other similar expressions, although not all forward-looking statements contain these words. Forward-looking statements in this press release include, but are not limited to, statements concerning whether a prophylactic treatment for FNAIT can be successfully developed, and whether RLYB212 will prevent alloimmunization in at-risk pregnant mothers and eliminate the risk of FNAIT. The forward-looking statements in this press release are only predictions and are based largely on management’s current expectations and projections about future events and financial trends that management believes may affect Rallybio’s business, financial condition, and results of operations. These forward-looking statements speak only as of the date of this press release and are subject to a number of known and unknown risks, uncertainties and assumptions, including, but not limited to, our ability to successfully initiate and conduct our planned clinical studies, and complete such clinical studies and obtain results on our expected timelines, or at all, whether our cash resources will be sufficient to fund our operating expenses and capital expenditure requirements and whether we will be successful raising additional capital, our ability to enter into strategic partnerships or other arrangements, competition from other biotechnology and pharmaceutical companies, and those risks and uncertainties described in Rallybio’s filings with the U.S. Securities and Exchange Commission (SEC), including Rallybio’s Annual Report on Form 10-K for the period ended December 31, 2023, and subsequent filings with the SEC. The events and circumstances reflected in our forward-looking statements may not be achieved or occur and actual future results, levels of activity, performance and events and circumstances could differ materially from those projected in the forward-looking statements. Except as required by applicable law, we are not obligated to publicly update or revise any forward-looking statements contained in this press release, whether as a result of any new information, future events, changed circumstances or otherwise.

View source version on businesswire.com: https://www.businesswire.com/news/home/20240329464694/en/

Investor Ami Bavishi Head of Investor Relations and Corporate Communications (475) 47-RALLY (Ext. 282) [email protected] Hannah Deresiewicz Stern Investor Relations, Inc. (212) 362-1200 [email protected] Media Victoria Reynolds Mission North (760) 579-2134 [email protected]

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• 5h As international travel grows, so does US use of technology. A look at how it's used at airports
• 6h Stock market today: Asian shares drop after Wall Street sinks on rate worries
• 6h Freight railroads must keep 2-person crews, according to new federal rule first proposed under Obama
• 7h Scathing federal report rips Microsoft for shoddy security, insincerity in response to Chinese hack
• 8h Trump sues two Trump Media co-founders, seeking to void their stock in the company
• Indian Motorcycle gets a refresh as it's riding its biggest success • Business
• Wings Financial foreclosing on portion of Normandale Lakes Office Park • Business
• After 3M split, Minnesota has a new public company in Solventum • Business
• Uber, Lyft drivers using Hertz program told to return cars, leaving gap before May 1 pullout • Business
• 3M just got a lot smaller. How did it ever get so big? • Business

Complete coverage of business news in the Twin Cities, Minnesota and elsewhere, including Fortune 500 Minnesota companies: UnitedHealth Group, Target, Best Buy, 3M, CHS, U.S. Bancorp, General Mills, C.H. Robinson, Land O’Lakes, Ecolab, Ameriprise Financial, Xcel Energy, Hormel Foods, Thrivent Financial, Polaris, Securian Financial Group, Fastenal and Patterson Cos.

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