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Market Conduct for Investment Managers

Market Conduct for Investment Managers
2nd Edition
ISBN:  9780414103702
Published by:  Sweet & Maxwell
Publication Date:  27 Jun 2022
Subscription Information:  Non-Subscribable Product
Format:  Hardback
PRODUCT INCLUDES:
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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.
  • Covers the distinct range of market conduct issues faced by investment managers
  • A first-of-its-kind, providing a practical guide specifically targeted at those on the “buy-side”
  • Designed to help investment professionals navigate this important and complex area
  • Includes a wealth of case studies and real-world practical scenarios
This second edition includes new sections on:
  • The interplay between sustainable finance and MAR
  • Brexit implications
  • Alternative data and MAR
  • The impact of the post-pandemic ‘hybrid’ working model

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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. Remote and “Hybrid” Working
  18. Scenarios

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