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Market Conduct for Investment Managers
Market Conduct for Investment Managers
ISBN:  9780414071537
Published by:  Sweet & Maxwell
Publication Date:  31 Mar 2019
Subscription Information:  Non-Subscribable Product
Format:  Hardback
PRODUCT INCLUDES:
Hardback
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PRODUCT DESCRIPTION
Market Conduct for Investment Managers is a practical guide for investment managers who face a distinct range of market conduct issues. Many texts have been published into the generalities and technicalities of the market conduct regime, however, none has focused on the so-called “buy-side”. The book is designed to help navigate this complex area by raising levels of awareness and intuitive understanding through the use of real-world insights and a host of case studies and practical scenarios.

Authored by David Berman, Financial Regulatory Partner at Latham & Watkins, who advises investment managers on market conduct-related issues and investigations.
CONTENTS
  1. Introduction 
  2. Legal and Regulatory Framework
  3. Fundamental Principles 
  4. Scope and Territoriality of MAR 
  5. Inside Information / MNPI 
  6. Insider Dealing 
  7. Unlawful Disclosure 
  8. Market Manipulation 
  9. Market Soundings 
  10. Loans and Other “Out-of-Scope” Instruments
  11. Company Meetings / Dialogue 
  12. Einhorn / Greenlight 
  13. Rumours 
  14. Suspicious Transactions and Orders 
  15. Common “Buy-Side” Issues 
  16. Practicalities 
  17. Scenarios 
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