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Investment Management Law and Practice

Edited by: Timothy Spangler

ISBN13: 9780199582501
Published: January 2010
Publisher: Oxford University Press
Country of Publication: UK
Format: Hardback
Price: £462.50

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Investment Management: Law and Practiceprovides an in-depth guide to the processes and legal and regulatory issues relating to investment management. Edited by Timothy Spangler, a New York qualified lawyer and English solicitor, this work provides a comparative consideration of UK and US practice.

The work 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. It provides lawyers with 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 includes a detailed consideration of those aspects of particular relevance to investment management law, such as derivatives, soft commission and market abuse. The third part considers pertinent issues relevant to each client sector to provide a practical research tool for advising different categories of client.

This work will offer valuable information on the regulatory changes and market activity in this dynamic and increasingly specialist practice area.

Banking and Finance
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