Overview

Edited by Timothy Spangler, a New York qualified lawyer and English solicitor experienced in both jurisdictions, this book gives an invaluable overview of the processes and legal and regulatory issues relating to investment management in the UK and US. This approach gives useful guidance for individuals choosing between having a fund manager in the US or the UK and also provides a helpful outline for lawyers unfamiliar with one or both of the jurisdictions. The book adopts a three part structure. The first part examines the legal principles underlying investment management and the regulatory position in both the UK and the US giving a useful overview of these jurisdictions. It provides practical guidance on the tort aspects of practice in this area, looking at the common law relating to standard of care, contractual duty and fiduciary duty. The second part addresses topics of particular relevance to investment management law, such as derivatives, soft commission and market abuse giving guidance on these specialist areas. The third part focuses on pertinent issues relevant to each client sector to provide a practical research tool for advising different categories of client. This work gives valuable information on the regulatory changes and market activity in this increasingly complex practice area providing useful guidance on market developments.

Full Product Details

Author:   Timothy Spangler (Partner and Chair of the Investment Funds Group, Kaye Scholer LLP)
Publisher:   Oxford University Press
Imprint:   Oxford University Press
Dimensions:   Width: 17.80cm , Height: 6.30cm , Length: 25.00cm
Weight:   2.116kg
ISBN:  

9780199582501

ISBN 10:   0199582505
Pages:   1520
Publication Date:   14 January 2010
Audience:   Professional and scholarly ,  Professional & Vocational
Format:   Hardback
Publisher's Status:   Out of Stock Indefinitely
Availability:   Awaiting stock  

Table of Contents

I: Legal and Regulatory Framework 1: Introduction 2: The Legal Basis of Investment Management 3: Regulation of Investment Managers - United Kingdom 4: Regulation of Investment Managers - United States 5: Standard of Care 6: Contractual Duties 7: Fiduciary Duties II: Key Topics 8: Advertising and Marketing 9: Proxy Voting 10: Best Execution 11: Soft Commission 12: Data Protection and Privacy 13: Market Abuse and Insider Dealing 14: Derivatives 15: Stakebuilding and Ownership Disclosure 16: Taxation 17: Outsourcing 18: Industry Best Practice and Guidelines III: Clients 19: US Mutual Funds 20: UK and European Closed-Ended Listed Funds 21: UK Authorised Funds 22: Erisa Plans 23: Occupational Pension Schemes 24: Local Government Pension Schemes 25: UK Charities 26: High Net Worth Individuals 27: Sovereign Wealth Funds 28: Hedge Funds 29: US Charities and Endowments 30: With Profit-Funds

Reviews

An absolutely fabulous book. This is, without a doubt, the best work in this important area that I have ever read. Every practitioner should read it. It covers all of the most difficult areas of law and contract that a practitioner faces on a daily basis in a concise, complete and referenced form with a thoughtful analysis of the issues in the two most important jurisdictions. It imparts wisdom and pragmatic assistance. I will keep it as my favourite, handy reference Philip Harris of Skadden, Arps, Slate, Meagher & Flom LLP

Author Information

Timothy Spangler is a partner and chair of the Investment Funds Group in Kaye Scholer LLP's London and New York offices, where he regularly advises sponsors on the formation, structuring and negotiation of a wide variety of investment vehicles

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