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Market Conduct for Investment Managers: A Practical Guide, 3rd Edition

Market Conduct for Investment Managers: A Practical Guide, 3rd Edition

Author: David Berman
Publisher: Sweet & Maxwell U.K.
ISBN: 9780414123120

Previous Edition ISBN: 9780414103702
Published In: August 2024
Format: Hardback
Jurisdiction: U.K. ? Disclaimer:
Countri(es) stated herein are used as reference only

List Price: HKD 1,668.00

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Description
Contents

Details

Market conduct is, and will almost certainly remain, an area of concerted regulatory focus. Market abuse risk is also arguably the single greatest risk faced by investment managers on a day-to-day basis. Whilst many texts have been published into the generalities and technicalities of the market conduct regime, this book is the first to focus on the so-called ‘buy-side’.

Market Conduct for Investment Managers is designed to help investment professionals navigate this important and complex area by raising levels of awareness and intuitive understanding through the use of real-world insights, case studies and practical scenarios. Now in its third edition, this publication is widely-regarded as the authoritative practical guide on this important topic and essential reading for investment management professionals.

This third edition has been updated to include new content on:

Guidance provided by the FCA in Market Watch 75, published in October 2023
SEC warnings in April 2022 over the use of alternative data by investment managers
The regulatory treatment of investee company meetings and dialogue under the definition of MNPI
The FCA’s enforcement action and resulting financial penalty imposed on Sir Christopher Gent for the unlawful disclosure of inside information
The risk management roles and responsibilities of the first line of defence within a firm
Recent practical examples, including: enforcement cases, which assist in interpreting and applying the market conduct requirements in the context of asset management.

Introduction

Legal and Regulatory Framework

Fundamental Principles

Scope and Territoriality of MAR

Inside Information / MNPI

Insider Dealing

Unlawful Disclosure

Market Manipulation

Market Soundings

10.

Loans and Other ‘Out-of-Scope’ Instruments

11.