Overview

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.

Full Product Details

Author:   Jack Murphy ,  Karen Anderberg ,  David Vaughan
Publisher:   Sweet & Maxwell Ltd
Imprint:   Sweet & Maxwell
Edition:   2nd edition
ISBN:  

9780414031968

ISBN 10:   0414031962
Publication Date:   22 September 2017
Audience:   Professional and scholarly ,  Professional & Vocational
Format:   Paperback
Publisher's Status:   Active
Availability:   In Print  
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Table of Contents

Introduction # Overview of US Regulation; Regulation of Investment Advisers; Regulation of Managers by the US Commodity Futures Trading Commission; US Regulations Impacting Investment Advisers to Employee Benefit Plan (ERISA) Clients; Impact of Investment Company Regulation on Investment Advisers to US-Regulated Funds; Regulation of Asset Managers Conducting Broker-Dealer Activities in the US; The Volcker Rule: Impact on Funds; Marketing Non-US Investment Products to US Investors; US Tax Considerations in Marketing Non-US Investment Products to US Investors; State Regulation of Non-US Investment Advisers and Portfolio Managers; Application of US Economic and Trade Sanctions to Asset Managers outside the US; U.S. Issues for Hedge Funds, Private Equity Funds and Venture Capital Funds; Doing business with State or Local Governments -- Lobbying Issues # #Pay to Play#?; Anti-Trust Issues; Issues when transacting on US securities markets or with US Persons; U.S. Reporting Requirements; Changes to the US Derivatives Markets under Dodd Frank; FATCA.

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