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Vol 21 No 10 Oct/Nov 2016

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A new edition is due, details can be seen here:
The Law of Institutional Investment Management 2nd ed isbn 9780199687961

The Law of Institutional Investment Management


ISBN13: 9780199285013
New Edition ISBN: 9780199687961
Published: September 2009
Publisher: Oxford University Press
Country of Publication: UK
Format: Hardback
Price: £217.50



Low stock.

The Law of Institutional Investment Management fills a gap for a work that describes the custom and practice of the investment management business with reference to both English and New York law.

The work addresses the implementation of investment strategies by the manager, the infra-structure of the global financial markets (trading, clearing and settlement), and the custody and administration of the assets which are entrusted to the manager. In this context, the book seeks to define the various risks and pitfalls that confront the institutional participants in the financial markets, with an emphasis on the position (and protection) of the institutional investor.

Three focal points are looked at in detail:-

  • (i) a description of the investment management industry and the infra-structure of the financial markets;
  • (ii) an analysis of the professional responsibility of the investment manager for the making of investment decisions;
  • and (iii) an analysis of the professional responsibility of the investment manager for: implementing investment decisions through the use of broker-dealers ("front office" activities), and settling trades through the client's custodian ("back-office" activities).
This book is an insightful description by an industry insider of the workings and infra-structure of the financial markets
  • Explanation of the various investment strategies employed by investment managers, the implementation process, and administration of the portfolio
  • Fills a much needed gap in the market for a book on the law of investment management with a UK and US perspective
  • Legal analysis of all relationships involved in the management of a portfolio of assets such as investment manager, broker-dealer and custodian
  • Includes a glossary defining industry jargon

Subjects:
Banking and Finance
Contents:
1. THE CHARACTERISTIC FEATURES OF AN INSTITUTIONAL INVESTMENT MANDATE
2. THE REGULATORY FRAMEWORK
3. THE LEGAL DUTIES OF AN INSTITUTIONAL INVESTMENT MANAGER
4. EXERCISE OF INVESTMENT DISCRETION
5. CASH ACCOUNTS AND CASH TRANSFERS
6. SECURITIES ACCOUNTS AND SECURITIES TRANSFERS
7. EXERCISE OF INVESTMENT AUTHORITY