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U.S. Regulation for Asset Managers outside the United States, 2nd Edition

U.S. Regulation for Asset Managers outside the United States, 2nd Edition

Author: Jack Murphy; Karen Anderberg; David Vaughan
Publisher: Sweet & Maxwell U.K.
ISBN: 9780414031968

Previous Edition ISBN: 9781905121199
Published In: September 2017
Format: Paperback
Jurisdiction: U.S. ? Disclaimer:
Countri(es) stated herein are used as reference only

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Description
Contents

Details

This new edition covers all aspects of US regulation that affect investment management firms, broker dealers and their advisers outside the United States. This encompasses not only SEC regulation, but also CFTC and ERISA aspects, and the text will also deal with aspects of broker dealer legislation and regulation that impacts on investment management work.

1 Introduction – Overview of US Regulation

2 Regulation of Investment Advisers
a. Registration and Exemptions from Registration (including mention of prior requirements and history of recent changes under Dodd-Frank)
b. Filing on From ADV
c. Reporting on Form PF
d. Compliance Requirements
e. Advertising
f. Recordkeeping Requirements
g. SEC Inspections and Enforcement
h. Sharing Resources Among Registered and Unregistered Affiliates: Participating Affiliate Arrangements

3 Regulation of Managers by the US Commodity Futures Trading Commission
a. Regulation of Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs)
b. Exemptions from registration for CPOs and CTAs
c. Registration of CPOs and CTAs – filing on Forms 7-R and 8-R
d. Reporting on Form CPO-PQR
e. Compliance Requirements
f. Advertising
g. Recordkeeping Requirements
Issues for Fund of Fund CPOs and CTAs

4 US Regulations Impacting Investment Advisers to Employee Benefit Plan (ERISA) Clients

5 Impact of Investment Company Regulation on Investment Advisers to US-Regulated Funds

6 Regulation of Asset Managers Conducting Broker-Dealer Activities in the US

7 The Volcker Rule: Impact on Funds

8 Marketing Non-US Investment Products to US Investors

9 US Tax Considerations in Marketing Non-US Investment Products to US Investors

10 State Regulation of Non-US Investment Advisers and Portfolio Managers

11 Application of US Economic and Trade Sanctions to Asset Managers outside the US

12 U.S. Issues for Hedge Funds, Private Equity Funds and Venture Capital Funds

13 Doing business with State or Local Governments -- Lobbying Issues – “Pay to Play”?

14 Anti-Trust Issues

15 Issues when transacting on US securities markets or with US Persons