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Law and Regulation of Investment Management

Law and Regulation of Investment Management
3rd Edition
ISBN:  9780414054905
Published by:  Sweet & Maxwell
General Editor:Dick Frase
Publication Date:  22 Jul 2019
Subscription Information:  Non-Subscribable Product
Format:  Hardback
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Law and Regulation of Investment Management is an essential guide to the legal issues raised by investment management, including the nature of client services relationships, conflicts of interest and corporate governance, custody, contractual matters, and fiduciary duties.

  • Provides a complete guide to the law and regulation of investment management
  • Looks at the nature of the client services relationship
  • Considers internal compliance and the ramifications of conflicts of interest and information barriers
  • Examines the legal issues raised by settlement and custody
  • Discusses the fiduciary duties that arise through investment management
  • Looks at the contractual issues of the investment mandate
  • Provides an overview of key US legislation
  • Deals with investment management in the US, France, Germany, Luxembourg, Ireland and Hong Kong
  • Covers specialist areas such as Hedge Funds, closed ended funds, private equity funds
  • Includes analysis of national and international case law
  • Provides commentary and analysis on national and international legislation

New to this edition:
  • Examines the new regulatory structure post-MiFID II
  • Considers changes under AIFMD
  • Covers RTS and ITS under SFTR and amendments to related EMIR RTS
  • Includes updated case law

CONTENTS

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

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