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Investment Management Law and Regulation, Third Edition by Steve Thel ,Harvey E. Bines Investment Management Law and Regulation, Third Edition by Steve Thel ,Harvey E. Bines

Investment Management Law and Regulation, Third Edition

By Harvey E. Bines, Steve Thel
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Overview

Investment Management Law and Regulation

Investment Management Law and Regulation is the only up-to-date volume to offer a comprehensive examination of the field of investment management law, covering everything from financial theory and legal theory to the various aspects of hands-on fund management. It's the only resource of its kind that:

  • Identifies and explains the financial theories that control the development of investment management law across management activities
  • Gives critical judicial, legislative, and regulatory history that makes recent law and regulation more comprehensible
  • Covers all areas of regulation governing the activities of investment managers, including marketing, suitability, advisory contacts, fees, exculpation and indemnification, performance, fiduciary obligations, conflicts of interest, best execution
  • Provides the practical tools that help predict more effectively how regulators will respond to new marketplace developments and products Integrates investment management law and regulation for all institutional investment mangers

Note: Online subscriptions are for three-month periods.

Pages 1142
Last Updated 12/12/2019
Update Frequency Annually
Product Line Wolters Kluwer Legal & Regulatory U.S.
ISBN 9781454845232
SKU 10046093-7777
Publish Frequency Annually
Product Line Wolters Kluwer Legal & Regulatory U.S.
SKU 000000000010071656
Table of Contents

Part I: Principles of Investment Management Law

  • The Fundamental Principles of Investment Management Law
  • The Governing Statutory and Common-Law Systems

Part II: Establishing the Client-Manager Relationship

  • Developing New Business
  • Setting Investment Objectives
  • Special Problems in Structuring Investment Management Agreements

Part III: Structuring the Portfolio

  • The Imprecise Parameters of the old Jurisprudence of Prudence as the Measure of the Duty of Reasonable Care
  • Modern Portfolio Theory as a Tool to Measure Professional Competence
  • Prudent Investing as a Contemporary Issue

Part IV: Ongoing Management: Executions

  • Executing Investment Decisions as a Legal Duty
  • Use of Commissions to Purchase Supplementary Services
  • Execution Conflicts of Interest

Bibliography

Table of Statutes

Table of Rules and Regulations

Table of Releases

Table of No-Action Letters

Table of Cases

Index

Volumes