U.S. Regulation for Asset Managers Outside the United States

 

Overview
U.S. Regulation for Asset Managers Outside the United States

9781905121199
Jan 2008
Paperback
  • Sets out US regulation of investment advisers, including compliance and record keeping requirements
  • Explains investment adviser advertising
  • Details SEC inspections and enforcement procedures
  • Goes through sharing resources among registered and unregistered affiliates and participating affiliate arrangements
  • Takes account of developments regarding hedge fund adviser registration
  • Reflects the impact of investment company regulation on investment advisers to US regulated funds
  • Assesses US regulations affecting investment advisers to Employee Benefit Plan (ERISA) clients
  • Covers US reporting requirements for asset managers, their regulation by the Commodity Futures Trading Commission and the conducting of broker-dealer activities in the United States
  • Examines the marketing non-US investment products to US investors
  • Includes state regulation of non-US investment advisers and portfolio managers
  • Looks at the application of US economic and trade sanctions to asset managers outside of the United States
  • Describes US tax considerations in marketing non-US investment products to US investors