US Regulation for Asset Managers Outside the United States

This edition covers all aspects of U.S. 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 also deals with aspects of broker-dealer legislation and regulation that impacts investment management work.

Chapter contributions:

1. Introduction to the US Financial System Regulators and Significant US Laws Impacting Asset Managers - Karen L. Anderberg, Partner, London
2. Regulation of Investment Advisers - Karen L. Anderberg, Partner, London
3. SEC Reporting by Advisers to Private Funds - David A. Vaughan, Partner New York & Washington DC; Karl J. Paulson Egbert, Partner, New York & Hong Kong
4. Regulation of Investment Advisers: Compliance Requirements - John O’Hanlon, Partner, Boston
5. Investment Adviser Advertising - Michael Sherman, Partner, Washington DC
6. Regulation of Investment Advisers: Recordkeeping Requirements - Karen L. Anderberg, Partner, London
7. Regulation of Investment Advisers: SEC Inspections and Enforcements - Michael Sherman, Partner, Washington DC
8. Sharing Resources among Registered and Unregistered Affiliates: Participating Affiliate Arrangements - Julien Bourgeois, Partner, Washington DC
9. Regulation of Asset Managers by the US Commodity Futures Trading Commission - L. Audrey Wagner, Associate, Washington DC
10. US Regulations Impacting Investment Advisers to Employee Benefit Plan (ERISA) Clients - Susan Camillo, Partner, Boston
11. Impact of Investment Company Regulation on Investment Advisers to US-Regulated Funds - Jack W. Murphy, Partner, Washington DC
12. Regulation of Asset Managers Conducting Broker-Dealer Activities in the US - Elliott Curzon, Partner, Washington DC
13. The Volcker Rule: Implications for Asset Managers outside the US - David J. Harris, Partner, Washington DC
14. Marketing Non-US Investment Products to US Investors - David A. Vaughan, Partner, New York & Washington DC
15. US Tax Considerations in Marketing Non-US Investment Products to US Investors - Adrienne M. Baker, Partner, Boston
16. State Regulation of Non-US Investment Advisers and Portfolio Managers - Christopher D. Christian, Partner, Boston
17. Application of US Economic and Trade Sanctions to Asset Managers outside the US - Thomas C. Bogle, Partner, Washington DC; Darshak Dholakia, Associate, Washington DC
18. Doing Business with State and Local Government Entities - Brenden P. Carroll, Senior Associate, Washington DC; Christopher J. Geissler, Associate, Washington DC
19. Regulation of Investment Advisers Subject to US Federal Banking Laws - David L. Ansell, Partner, Washington DC; Robert H. Ledig, Partner, Washington DC
20. US Reporting Requirements for Asset Managers - Patrick W.D. Turley, Partner, Washington DC
21. US Regulation of Cross-Border Swap Activities - Philip T. Hinkle, Partner, Washington DC; Kennan J. Castel-Fodor, Associate, Hong Kong
22. US Antitrust Considerations for Non-US Asset Managers - Ethan Litwin, Partner, New York; Craig Falls, Partner, Washington DC

For more information and to request a copy of the book, please contact Jacqueline Taylor.