This work looks at the processes and legal and regulatory issues relevant to investment management. The work focuses on the two leading jurisdictions in the field, the UK and US, and provides an examination of the principles of investment management law and considers how those principles are applied in practice. INDICE: 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
- ISBN: 978-0-19-958250-1
- Editorial: Oxford University
- Encuadernacion: Cartoné
- Páginas: 152
- Fecha Publicación: 14/01/2010
- Nº Volúmenes: 1
- Idioma: Inglés