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This book is now Out of Print.
A new edition has been published, the details can be seen here:
US Regulation for Asset Managers Outside the United States 2nd ed isbn 9780414031968

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

Edited by: Jack Murphy, Karen Anderberg

ISBN13: 9781905121199
New Edition ISBN: 9780414031968
Published: March 2008
Publisher: Sweet & Maxwell Ltd
Country of Publication: UK
Format: Paperback
Price: Out of print

In the last decade, the investment management industry has become more globally focused, and yet investment advisers seeking to do business across borders still face a maze of competing national regulations and laws. As a result of operating in a global market, today’s investment adviser may be subject to some form of limited extra-territorial jurisdiction without necessarily being aware of it.

In this context investment advisers need to have an understanding of the regulatory and registration requirements of the United States, where the securities regulations are among the most restrictive in the world and where the regulator – the U.S. Securities and Exchange Commission (“SEC”) - has exercised the most expansive jurisdictional authority over non-U.S. investment advisers.

Banking and Finance
Chapter 1: Regulation of Investment Advisers
Chapter 2: Regulation of Investment Advisers: Compliance Requirements
Chapter 3: Investment Adviser Advertising
Chapter 4: Regulation of Investment Advisers: Recordkeeping Requirements
Chapter 5: Regulation of Investment Advisers: SEC Inspections and Enforcement
Chapter 6: Sharing Resources Among Registered and Unregistered Affiliates: Participating Affiliate Arrangements
Chapter 7: U.S. Reporting Requirements for Asset Managers
Chapter 8: Recent Developments Regarding Hedge Fund Adviser Registration
Chapter 9: Impact of Investment Company Regulation on Investment Advisers to U.S. Regulated Funds
Chapter 10: U.S. Regulations Impacting Investment Advisers to Employee Benefit Plan (ERISA) Clients
Chapter 11: Regulation of Asset Managers by the Commodity Futures Trading Commission
Chapter 12: Regulation of Asset Managers Conducting Broker-Dealer Activities in the United States
Chapter 13: Marketing Non-U.S. Investment Products to U.S. Investors
Chapter 14: State Regulation of Non-U.S. Investment Advisers and Portfolio Managers
Chapter 15: Application of U.S. Economic and Trade Sanctions to Asset Managers Outside of the United States
Chapter 16: U.S. Tax Considerations in Marketing Non-U.S. Investment Products to U.S. Investors