A Practitioner’s Guide to Conflicts of Interest in the Financial Services Industry

October 01, 2012

A Practitioner’s Guide to Conflicts of Interest in the Financial Services Industry, edited by Dechert partners Robert Helm and Richard Frase along with Martin Day, provides a practical examination of the complex law and regulations that exist in the UK, USA and various other important jurisdictions concerning the concept of conflicts of interest and how the principles have been applied to the financial services industry.

This unique title looks firstly at the law in the UK, giving you detailed guidance on how conflicts and potential conflicts should be managed in the context of UK regulation. It then goes on to discuss the latest EU developments and the US approach, particularly with regard to the extent that non-US firms are subject to US regulatory requirements and the implications of the Dodd-Frank Act. The book also covers other jurisdictions including Ireland and Hong Kong, and considers the civil law approach with reference to France, Germany and Luxembourg.

The last section of the book looks at potential future trends and developments, and includes a case study illustrating how conflicts of interest can be managed and how legal liability contracted out of by the use of appropriately worded engagement letters and the efficacy of information barriers.

Chapter 1 – Conflicts of Interest in English Law
Authored by: Martin Day

Chapter 2 – Specific Issues in the United Kingdom’s Financial Services Industry
Authored by: Richard Frase

Chapter 3 – The UK Statutory Regulation of Conflicts of Interest
Authored by: Richard Frase

Chapter 4 – The Management of Conflicts of Interest
Authored by: Richard Frase

Chapter 5 – European Union Developments and Proposals for Reform 
Authored by: Martin Day

Chapter 6 – The United States Approach to Conflicts of Interest: Selected Topics on Managing Conflicts of Interest in Investment Management Firms 
Authored by: Brian Vargo, Elliott Curzon, Robert Helm, Keith RobinsonKevin Scanlan and Kathleen Ziga with research, drafting and editorial assistance from Brenden Carroll, Matthew Curtin, Marc Palumbo, Drew Picciafoco, Eric Simanek, Adam Teufel and Sumeera Younis.

Chapter 7 - Conflicts of Interest and Their Management in Hong Kong
Authored by: Angelyn Lim and Karl J. Paulson Egbert

Chapter 8 - The Civil Law Approach to Conflicts of Interest and Their Management
Authored by: Olivier DumasAngelo Lercara, Marc Seimetz, Richard Temko, Sebastian GorickeYann Le Garrec and Ysabelle Vuillard

Chapter 9 - Conclusion: Current Trends in Financial Market Law and Regulation in Relation to Conflicts of Interest
Authored by: Martin Day

For more information visit the publisher’s website.