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Over the last decade, the investment management industry has become more globally focused, and yet investment managers seeking to do business across borders still face a maze of complex and often contradictory national regulations and laws. As a result of operating in a global market, today’s investment manager unknowingly may be subject to some form of extra-territorial jurisdiction. This book aims to provide a road map to enable users to understand which regulations apply in different circumstances and what they need to do in order to remain compliant.
This fully revised and expanded new edition covers all aspects of US regulation that affect investment management firms located outside the United States. This encompasses not only SEC regulation, but also CFTC and ERISA requirements, and the text will also deal with aspects of broker dealer regulation that impact non-US investment managers.
Also included in this edition: