Law and Regulation of Investment Management, 3rd Ed | 2019

Law and Regulation of Investment Management, 3rd Ed | 2019

Law and Regulation of Investment Management offers a comprehensive overview of the legal and regulatory framework surrounding investment management. It addresses key legal aspects such as the structure of client relationships, fiduciary responsibilities, conflicts of interest, custody arrangements, contractual obligations, and governance issues.

• Offers an in-depth examination of investment management law and regulation

• Explores the nature of the client-service provider relationship

• Analyzes internal compliance systems, including the impact of conflicts of interest and information barriers

• Investigates legal concerns related to settlement and asset custody

• Discusses fiduciary duties associated with managing investments

• Reviews contractual considerations tied to investment mandates

• Provides an overview of major U.S. regulatory frameworks

• Includes international coverage, focusing on the U.S., France, Germany, Luxembourg, Ireland, and Hong Kong

• Addresses specialized sectors such as hedge funds, closed-end funds, and private equity

• Features detailed commentary on relevant national and international legislation

• Incorporates analysis of case law from multiple jurisdictions

Updates in this edition include:

• A review of the new regulatory landscape following MiFID II

• Updates reflecting changes under the Alternative Investment Fund Managers Directive (AIFMD)

• Analysis of Regulatory and Implementing Technical Standards under the Securities Financing Transactions Regulation (SFTR) and amendments to EMIR RTS

• New case law developments integrated throughout the text

Contents of Law and Regulation of Investment Management, 3rd Ed 

PART 1. THE MANAGEMENT SERVICE
1. Overview of Management Industry
2. Authorisation and Regulation
3. Judgement and Advice
4. The Management Contract

PART 2. CLIENTS
5. Overview
6. Legal Nature of the Client Relationship
7. The Regulatory Client
8. Fiduciaries and Conflicts
9. Pensions Clients

PART 3. MARKETING FACING
10. Implementation
11. Custody
12. Market Abuse

PART 4. PRODUCTS
13. The Investment Portfolio
14. Investment Funds
15. UCITS Regulation
16. Alternative Funds
17. Private Equity Funds & Real Estate

PART 5. JURISDICTIONS
18. France
19. Germany
20. USA
21. UA Futures
22. Ireland
23. Luxembourg
24. Hong Kong

Find more books like Law and Regulation of Investment Management, 3rd Ed : Banking and Finance