Buch, Englisch, 1520 Seiten, Format (B × H): 185 mm x 244 mm, Gewicht: 2109 g
Law and Practice
Buch, Englisch, 1520 Seiten, Format (B × H): 185 mm x 244 mm, Gewicht: 2109 g
ISBN: 978-0-19-958250-1
Verlag: Oxford University Press
Covers the legal and regulatory position in the UK and US, the two leading international centres for investment management practice
Unique coverage of practical and legal issues specific to each client sector, such as mutual and authorised funds and occupational pension schemes
Handpicked team of practitioners from the UK and US and edited by a dual New York/English qualified lawyer
Includes coverage of mutual funds, close-ended listed funds, authorised funds, occupational and local government pension schemes, charities and endowment funds, sovereign wealth funds, private equity funds, hedge funds and with-profit funds
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.
Zielgruppe
UK and US lawyers in private practice and in-house counsel specialising in funds and financial services; advisers of investment managers at investment banks and financial institutions; leading accountancy firms based in the UK and US; compliance officers in investment banks; international lawyers advising on business conducted under UK or US registered investments within the financial centres of Europe and Asia.
Autoren/Hrsg.
Fachgebiete
- Rechtswissenschaften Ausländisches Recht Common Law (UK, USA, Australien u.a.)
- Wirtschaftswissenschaften Finanzsektor & Finanzdienstleistungen Anlagen & Wertpapiere
- Wirtschaftswissenschaften Volkswirtschaftslehre Internationale Wirtschaft Internationale Finanzmärkte
- Wirtschaftswissenschaften Finanzsektor & Finanzdienstleistungen Internationale Finanzmärkte
Weitere Infos & Material
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
