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US Regulation for Asset Managers Outside the United States 2nd ed

Edited by: Jack Murphy, Karen Anderberg, David Vaughan

ISBN13: 9780414031968
Previous Edition ISBN: 9781905121199
Published: September 2017
Publisher: Sweet & Maxwell Ltd
Country of Publication: UK
Format: Paperback
Price: £182.00



In stock.

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:

  • Guidance for marketing hedge funds to US investors
  • The Dodd-Frank Wall Street Reform and Consumer Protection Act (including the Volcker Rule) and implications
  • New Commodity Futures Trading Commission (CFTC) regulations
  • New coverage for foreign private advisers, private fund advisers and venture capital advisers
  • New coverage of anti-trust issues
  • A new chapter covering the Bank Holding Company Act

Subjects:
Banking and Finance
Contents:
1 Introduction – Overview of US Regulation
2 Regulation of Investment Advisers
a. Registration and Exemptions from Registration (including mention of prior requirements and history of recent changes under Dodd-Frank)
b. Filing on From ADV
c. Reporting on Form PF
d. Compliance Requirements
e. Advertising
f. Recordkeeping Requirements
g. SEC Inspections and Enforcement
h. Sharing Resources Among Registered and Unregistered Affiliates: Participating Affiliate Arrangements
3 Regulation of Managers by the US Commodity Futures Trading Commission
a.  Regulation of Commodity Pool Operators  (CPOs) and Commodity Trading Advisors (CTAs)
b. Exemptions from registration for CPOs and CTAs
c. Registration of CPOs and CTAs – filing on Forms 7-R and 8-R
d. Reporting on Form CPO-PQR
e. Compliance Requirements
f. Advertising
g. Recordkeeping Requirements
Issues for Fund of Fund CPOs and CTAs
4 US Regulations Impacting Investment Advisers to Employee Benefit Plan (ERISA) Clients
5 Impact of Investment Company Regulation on Investment Advisers to US-Regulated Funds
6 Regulation of Asset Managers Conducting Broker-Dealer Activities in the US
7 The Volcker Rule:  Impact on Funds
8 Marketing Non-US Investment Products to US Investors
9 US Tax Considerations in Marketing Non-US Investment Products to US Investors
10 State Regulation of Non-US Investment Advisers and Portfolio Managers
11 Application of US Economic and Trade Sanctions to Asset Managers outside the US
12 U.S. Issues for Hedge Funds, Private Equity Funds and Venture Capital Funds
13 Doing business with State or Local Governments -- Lobbying Issues – “Pay to Play”?
14 Anti-Trust Issues
15 Issues when transacting on US securities markets or with US Persons
16 U.S. Reporting Requirements
17 Changes to the US Derivatives Markets under Dodd Frank
18 FATCA

Series: The City Library

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Sweet & Maxwell Ltd
£234.00
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A Practitioner's Guide to the Law and Regulation of Market Abuse 3rd ed (eBook) ISBN 9780414102293
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A Practitioner's Guide to Trade and Commodity Finance 2nd ed (eBook)
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ISBN 9780414088313
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Sweet & Maxwell Ltd
£191.00
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A Practitioner's Guide to Trade and Commodity Finance 2nd ed (Book & eBook Pack)
Edited by: Geoffrey Wynne
ISBN 9780414087552
Published December 2021
Sweet & Maxwell Ltd
£249.00
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A Practitioner's Guide to Trade and Commodity Finance 2nd ed
Edited by: Geoffrey Wynne
ISBN 9780414081017
Published December 2021
Sweet & Maxwell Ltd
£191.00
A Practitioner's Guide to the Regulation of Insurance 6th ed
Edited by: Charles Rix
ISBN 9780414075702
Published December 2020
Sweet & Maxwell Ltd
£205.00
A Practitioner's Guide to The AIM Rules 8th ed
Edited by: Tom Nicholls
ISBN 9780414077249
Published October 2020
Sweet & Maxwell Ltd
£225.00
A Practitioner's Guide to Directors' Duties and Responsibilities 6th ed
Edited by: Tim Boxell
ISBN 9780414056992
Published July 2019
Sweet & Maxwell Ltd
£199.00
A Practitioner's Guide to the UK Financial Services Rulebooks 7th ed ISBN 9780414056978
Published February 2019
Sweet & Maxwell Ltd
£264.00
A Practitioner's Guide to MiFID II 3rd ed ISBN 9780414065727
Published February 2018
Sweet & Maxwell Ltd
£253.00
A Practitioner's Guide to Syndicated Lending 2nd ed
Edited by: Andrew Shutter
ISBN 9780414065390
Published November 2017
Sweet & Maxwell Ltd
£265.00
Consumer Financial Services Complaints and Compensation 2nd ed ISBN 9780414034044
Published July 2017
Sweet & Maxwell Ltd
£210.00
A Practitioner's Guide to Banking Regulation: Mastering the New Regulatory Landscape ISBN 9780414061286
Published November 2016
Sweet & Maxwell Ltd
£222.00
A Practitioner's Guide to Solvency II ISBN 9780414054851
Published April 2016
Sweet & Maxwell Ltd
£241.00
A Practitioner's Guide to UK Money Laundering Law and Regulation 3rd ed
Edited by: Ben Kingsley
ISBN 9780414052574
Published December 2015
Sweet & Maxwell Ltd
£222.00
A Practitioner's Guide to Alternative Investment Funds 3rd ed ISBN 9780414034006
Published September 2015
Sweet & Maxwell Ltd
£218.00
A Practitioner's Guide to MiFID II: The Markets in Financial Instruments Directive 2nd ed ISBN 9780414026858
Published March 2015
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to The AIM Rules 7th ed
Edited by: Tom Nicholls
ISBN 9780414034020
Published September 2014
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to the Regulation of Insurance 5th ed
Edited by: John Young
ISBN 9780414028357
Published August 2014
Sweet & Maxwell Ltd
Out of print
£234.00
A Practitioner's Guide to the Regulation of Investment Banking 3rd ed
Edited by: Simon Gleeson
ISBN 9780414028135
Published November 2013
Sweet & Maxwell Ltd
£234.00
Business Services, Partnering and Outsourcing Contracts: A Practical Guide 4th ed ISBN 9780414024335
Published December 2012
Sweet & Maxwell Ltd
£210.00
Practitioner's Guide to European Bond Markets
Edited by: Nick CollierHead of Regulatory Policy, ICMA, Michael RaffanFreshfields Bruckhaus Deringer
ISBN 9781905121168
Published November 2012
Sweet & Maxwell Ltd
Publication Abandoned
A Practitioner's Guide to Inside Information 2nd ed ISBN 9780414026988
Published September 2012
Sweet & Maxwell Ltd
£234.00
A Practitioner's Guide to Trade and Commodity Finance
Edited by: Geoffrey Wynne
ISBN 9780414045392
Published August 2012
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to Basel III and Beyond ISBN 9780414045385
Published June 2011
Sweet & Maxwell Ltd
£253.00
A Practitioner's Guide to Derivatives
Edited by: Jonathan Marsh
ISBN 9780414043053
Published November 2010
Sweet & Maxwell Ltd
£253.00
A Practitioner's Guide to Alternative Investment Funds 2nd ed ISBN 9780414043107
Published October 2010
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to Authorised Investment Funds ISBN 9781905121403
Published June 2010
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to Syndicated Lending
Edited by: Andrew Shutter
ISBN 9781905121366
Published January 2010
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to Private Equity ISBN 9781905121342
Published July 2009
Sweet & Maxwell Ltd
£317.00
Outsourcing Contracts: A Practical Guide 3rd ed ISBN 9781905121373
Published July 2009
Sweet & Maxwell Ltd
Out of print
A Practical Guide to PPP in the United Kingdom ISBN 9781905121236
Published May 2009
Sweet & Maxwell Ltd
£210.00
A Practitioner's Guide to European Leveraged Finance ISBN 9781905121359
Published April 2009
Sweet & Maxwell Ltd
£269.00
A Practitioner’s Guide to Corporate Restructuring ISBN 9781905121311
Published August 2008
Sweet & Maxwell Ltd
£269.00
A Practical Guide to PPP in Europe 2nd ed
Edited by: Maurice Button
ISBN 9781905121298
Published June 2008
Sweet & Maxwell Ltd
Out of print
A Practitioner’s Guide to Takeovers and Mergers in the European Union 5th ed
Edited by: City & Financial
ISBN 9781905121304
Published June 2008
Sweet & Maxwell Ltd
£317.00
Practitioner's Guide to Mortgage Regulation ISBN 9781905121243
Published July 2007
Sweet & Maxwell Ltd
£187.00
A Practitioner's Guide to FSA Investigations and Enforcement 2nd ed ISBN 9781905121137
Published May 2007
Sweet & Maxwell Ltd
Out of print
US Securities Laws and Foreign Private Issuers
Edited by: Brian Lane
ISBN 9781905121144
Published April 2007
Sweet & Maxwell Ltd
£253.00
A Practical Guide to PPP in Europe
Edited by: Maurice Button
ISBN 9781905121090
Published October 2006
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to EU Financial Services Directives 2nd ed ISBN 9781905121076
Published September 2006
Sweet & Maxwell Ltd
Out of print
Practitioner's Guide to Securitisation ISBN 9781898830788
Published January 2006
Sweet & Maxwell Ltd
£253.00
A Practitioner's Guide to Takeovers and Mergers in the European Union 4th ed ISBN 9781905121069
Published October 2005
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to FSA Investigation and Enforcement ISBN 9781898830931
Published September 2005
Sweet & Maxwell Ltd
Out of print
Pensions Risk and Strategy ISBN 9781898830757
Published August 2005
Sweet & Maxwell Ltd
£187.00
A Practitioner's Guide to the Basel Accord ISBN 9781898830979
Published March 2005
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to The FSA Regulation of Lloyd's 2nd ed ISBN 9781898830870
Published January 2005
Sweet & Maxwell Ltd
Out of print
International Insider Dealing ISBN 9781898830801
Published January 2005
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to Audit regulation in the UK ISBN 9781898830894
Published December 2004
Sweet & Maxwell Ltd
Out of print
Practical Company Law and Corporate Transactions ISBN 9781898830733
Published November 2004
Sweet & Maxwell Ltd
Out of print
Financial Promotion - A Practitioner's Guide ISBN 9781898830726
Published October 2004
Sweet & Maxwell Ltd
Out of print
A Practical Guide to the FSA's Regulation of Mortgages ISBN 9781898830849
Published March 2004
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to the Company Law Review ISBN 9781898830535
Published June 2003
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to International Money Laundering Law and Regulation ISBN 9781898830689
Published April 2003
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to EU Financial Services Directives ISBN 9781898830696
Published March 2003
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to the Hong Kong Takeover Code ISBN 9781898830603
Published November 2002
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to the Acquisition of Companies in the United States ISBN 9781898830665
Published September 2002
Sweet & Maxwell Ltd
Out of print
Out of print
Public Company Takeovers in Germany ISBN 9781898830658
Published July 2002
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to the FSA Regulation of Lloyd's ISBN 9781898830467
Published June 2002
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to Partnership and LLP Law and Regulation ISBN 9781898830566
Published January 2002
Sweet & Maxwell Ltd
Out of print
Venture Capital and Private Equity: A Practitioner's Manual ISBN 9781898830528
Published December 2001
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to the Regulation of the Internet 2nd ed ISBN 9781898830511
Published April 2001
Sweet & Maxwell Ltd
Out of print