|
Usually ships within 1 to 3 working days
|
Rate this book...
Rating: 0.0/5 (0 votes cast)
|
|
|
|
|
Description of US Regulation for Asset Managers Outside the United States |
In the last decade, the investment management industry has become more globally focused, and yet investment advisers 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 adviser unknowingly may be subject to some form of limited extra-territorial jurisdiction.
In this context, it is important for investment advisers to understand the regulatory and registration requirements of the United States, where the securities regulations are among the most restrictive in the world and where the regulator – the U.S. Securities and Exchange Commission ("SEC") – has exercised expansive jurisdictional authority over non-U.S. investment advisers.
|
Contents of US Regulation for Asset Managers Outside the United States |
1: Regulation of Investment Advisers
2: Regulation of Investment Advisers: Compliance Requirements
3: Investment Adviser Advertising
4: Regulation of Investment Advisers: Record keeping Requirements
5: Regulation of Investment Advisers:
SEC Inspections and Enforcement
6: Sharing Resources Among Registered and Unregistered Affiliates: Participating Affiliate Arrangements
7: U.S. Reporting Requirements for Asset Managers
8: Recent Developments Regarding Hedge Fund Adviser Registration
9: Impact of Investment Company Regulation on Investment Advisers to U.S. Regulated Funds
10: U.S. Regulations Impacting Investment Advisers to Employee Benefit Plan (ERISA) Clients
11: Regulation of Asset Managers by the Commodity Futures Trading Commission
12: Regulation of Asset Managers Conducting Broker-Dealer Activities in the United States
13: Marketing Non-U.S. Investment Products to U.S. Investors
14: State Regulation of Non-U.S. Investment Advisers and Portfolio Managers
15: Application of U.S. Economic and Trade Sanctions to Asset Managers Outside of the United States
16: U.S. Tax Considerations in Marketing Non-U.S. Investment Products to U.S. Investors
|
 Buyers of this product also bought
Bulk buying
| If you need bulk copies of US Regulation for Asset Managers Outside the United States, or are interested in opening a corporate account, please contact us. |
|
Shopping basket