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Investment Management Law and Regulation, Third Edition Investment Management Law and Regulation, Third Edition

Investment Management Law and Regulation, Third Edition

By Harvey E. Bines, Steve Thel
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Overview

Investment Management Law and Regulation, Third Edition 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 managers

This classic treatise calls attention to the duty of reasonable care, the duty of loyalty and the public duty of fiduciaries to the marketplace. Grounded in the idea that prudent investing is to be defined by professional practices accepted as appropriate at the time of investment by the management, thereby permitting such practices to adapt to changing conditions and insights, the field of investment management law and regulation has at its center the goal of a common standard of care for investment.

Now in its Third Edition, this definitive guide to investment management law and regulation helps you to profitably adapt to today's new and changing conditions and anticipate tomorrow's regulatory response.

Here are just a few of the reasons why Investment Management Law and Regulation, Third Edition will be so valuable to you:

  • Explains and analyzes all the ins and outs of the law, clarifies the complexities, answers your questions, points out pitfalls and helps you avoid them
  • Covers the entire field in one volume, saves you valuable time and effort in finding information and searching through stacks of references
  • Ensures compliance with all relevant regulations, makes sure nothing is overlooked, protects you against costly mistakes
  • Updates you on the latest important changes, tells you what is happening now and what is likely to happen in the future

Whether you are a manager, broker, banker, or legal counsel, a seasoned professional or just starting out, this treatise will quickly become your most trusted guide through the intricacies of this complex, critical, and closely scrutinized area.

Last Updated 12/15/2017
Product Line Wolters Kluwer Legal & Regulatory U.S.
ISBN 9781454845232
SKU 10046093-7777
Product Line Wolters Kluwer Legal & Regulatory U.S.
SKU 000000000010015980
Table of Contents

Part I: Principles of Investment Management Law

  1. The Fundamental Principles of Investment Management Law
  2. The Governing Statutory and Common-Law Systems

    Part II: Establishing the Client-Manager Relationship

  3. Developing New Business
  4. Setting Investment Objectives
  5. Special Problems in Structuring Investment Management Agreements

    Part III: Structuring the Portfolio

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

    Ongoing Management: Executions

  9. Executing Investment Decisions as a Legal Duty
  10. Use of Commissions to Purchase Supplementary Services
  11. 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