Law and Regulation of Investment Management

December 14, 2011

This concise and practical book provides in-depth analysis and legal advice on the law and regulation of investment management. It examines the legal issues raised by investment management including the nature of the client services relationship, conflicts of interest and corporate governance, custody, contractual matters, and fiduciary duties.

With detailed coverage of the latest case law and legislation, this book is a welcome point of reference for both practitioners and academics.

  • Provides a complete guide to the law and regulation of investment management
  • Looks at the nature of the client services relationship
  • Considers internal compliance and the ramifications of conflicts of interest and information barriers
  • Examines the legal issues raised by settlement and custody
  • Discusses the fiduciary duties that arise through investment management
  • Looks at the contractual issues of the investment mandate
  • Provides an overview of key US legislation
  • Deals with investment management in the US, France, Germany, Luxembourg, Ireland and Hong Kong
  • Covers specialist areas such as Hedge Funds, closed ended funds, private equity funds
  • Includes analysis of national and international case law
  • Provides commentary and analysis on national and international legislation
  • Fully up to date to include latest developments related to the Alternative Investment Fund Managers’ Directive; MiFID; and UCITS IV

New to this edition:

  • Includes the latest developments related to the Alternative Fund Managers’ Directive (AIFMD); Market Abuse Directive (MAD); and UCITS IV
  • The new second edition incorporates the changes to the regulatory regime introduced by the Markets in Financial Instruments Directive (MiFID), including the associated amendments to the Financial Services and Markets Act 2000, and examines the regulatory structure post-MiFID
  • Covers developments in pensions legislation
  • Looks in more detail at compliance issues
  • New consideration of investment management in the US, France, Germany, Luxembourg, Ireland and Hong Kong
  • Extended coverage of specialist areas like hedge funds, private equity and closed-ended funds
  • Includes analysis of new case law