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.
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
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
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- ID: 9780199582501
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