Law and Regulation of Investment Management, 3rd Edition

Author: Dick Frase
Publisher: Sweet & Maxwell U.K.
ISBN: 9780414054905

Previous Edition ISBN: 9781847034878
Published In: July 2019
Format: Hardback
Jurisdiction: International ? Disclaimer:
Countri(es) stated herein are used as reference only

List Price: HKD 3,780.00

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Description
Contents

Details

Law and Regulation of Investment Management is an essential guide to the legal issues raised by investment management, including the nature of client services relationships, conflicts of interest and corporate governance, custody, contractual matters, and fiduciary duties.

Provides a complete guide to the law and regulation of investment management
Looks at the nature of the client services relationship
Considers internal compliance and the ramifications of conflicts of interest and information barriers
Examines the legal issues raised by settlement and custody
Discusses the fiduciary duties that arise through investment management
Looks at the contractual issues of the investment mandate
Provides an overview of key US legislation
Deals with investment management in the US, France, Germany, Luxembourg, Ireland and Hong Kong
Covers specialist areas such as Hedge Funds, closed ended funds, private equity funds
Includes analysis of national and international case law
Provides commentary and analysis on national and international legislation

New to this edition:

Examines the new regulatory structure post-MiFID II
Considers changes under AIFMD
Covers RTS and ITS under SFTR and amendments to related EMIR RTS
Includes updated case law

PART I: THE MANAGEMENT SERVICE

Chapter 1: Overview

Chapter 2: Authorisation

Chapter 3: Judgment

Chapter 4: The Management Contract

PART 2: CLIENTS

Chapter 5: Overview

Chapter 6: Legal Nature of the Client Relationship

Chapter 7: The Regulatory Client

Chapter 8: Fiduciary Duties and Conflicts

Chapter 9: Investment Management and Occupational Pension Schemes
Andrew Powell and Georgina Rankin, Squire Sanders Hammonds

PART 3: MARKET FACING

Chapter 10: Implementation

Chapter 11: Custody

Chapter 12: Leverage

Chapter 13: Market Abuse
Stuart Willey, White and Case LLP

PART 4: PRODUCTS

Chapter 14: Portfolio Assets

Chapter 15: Investment Funds

Chapter 16: UCITS Regulation

Chapter 17: UCITS Outside Europe
Christopher D. Christian, Dechert LLP, Boston

Chapter 18: Hedge Funds

Chapter 19: ETFS And Regulatory Issues in the United States
Stuart M. Strauss, Dechert LLP, New York

Chapter 20: Closed-Ended Private Equity Funds
Gus Black and Chris Gardner, Dechert LLP, London

PART 5: JURISDICTIONS

Chapter 21: France
Olivier Dumas, Dechert, Paris

Chapter 22: Germany
Angelo Lercara and Martin Hüwel, Dechert, Munich

Chapter 23: US Regulation of Investment Management
Jennifer Wood, Dechert LLP, London

Chapter 24: US Regulation of Managed Futures – Commodity Trading Advisers and Commodity Pools
Matthew K. Kerfoot, Dechert LLP, New York

Chapter 25: Ireland
Michelle Moran, Dechert LLP, Dublin

Chapter 26: Luxembourg
Antonios Nezeritis, Dechert LLP, Luxembourg

Chapter 27: Hong Kong
Angelyn Lim, Dechert, Hong Kong