US Regulation for Asset Managers outside the United States （2ND）

Murphy, Jack (EDT)/ Anderberg, Karen (EDT)/ Vaughan, David (EDT)

Sweet & Maxwell（2017/09発売）

• 製本 Paperback:紙装版/ペーパーバック版
• 言語 ENG
• 商品コード 9780414031968
• DDC分類 346.730822

Full Description

This new edition covers all aspects of US regulation that affect investment management firms, broker dealers and their advisers outside the United States. This encompasses not only SEC regulation, but also CFTC and ERISA aspects, and the text will also deal with aspects of broker dealer legislation and regulation that impacts on investment management work.

Contents

Introduction # Overview of US Regulation; Regulation of Investment Advisers; Regulation of Managers by the US Commodity Futures Trading Commission; US Regulations Impacting Investment Advisers to Employee Benefit Plan (ERISA) Clients; Impact of Investment Company Regulation on Investment Advisers to US-Regulated Funds; Regulation of Asset Managers Conducting Broker-Dealer Activities in the US; The Volcker Rule: Impact on Funds; Marketing Non-US Investment Products to US Investors; US Tax Considerations in Marketing Non-US Investment Products to US Investors; State Regulation of Non-US Investment Advisers and Portfolio Managers; Application of US Economic and Trade Sanctions to Asset Managers outside the US; U.S. Issues for Hedge Funds, Private Equity Funds and Venture Capital Funds; Doing business with State or Local Governments -- Lobbying Issues # #Pay to Play#?; Anti-Trust Issues; Issues when transacting on US securities markets or with US Persons; U.S. Reporting Requirements; Changes to the US Derivatives Markets under Dodd Frank; FATCA.