Law and Regulation of Investment Management 3rd Edition

Law and Regulation of Investment Management 3rd Edition

By Philip Wood


$544.00* $680.00 RRP Save: $136.00 (20%)

Dispatched from overseas. Estimated delivery 3-6 weeks.

Date: 22/07/2019

Code: 9780414054905

Sweet & Maxwell, UNITED KINGDOM

Available Formats

Format Title Date Code Price
Book International Loans, Bonds, Guarantees and Legal Opinions 3rd Edition 30/06/2019 9780414044692 $523.21 Add to cart
Book Principles of International Insolvency 3rd Edition 22/07/2019 9780414044708 $621.60 Add to cart
Book Set-offs and Netting, Derivatives and Clearing Systems 3rd Edition 24/07/2019 9780414044746 $519.20 Add to cart
Book International Insolvency: Jurisdictional Comparisons 30/06/2019 9780414071476 $583.20 Add to cart
Book Comparative Law of Security Interests and Title Finance 3rd Edition 24/07/2019 9780414044753 $583.20 Add to cart
Book Security Interests and Title Finance: Jurisdictional Comparisons 1st Edition 25/06/2019 9780414071490 $519.20 Add to cart
Book Law and Regulation of Investment Management 3rd Edition 22/07/2019 9780414054905 $544.00 Add to cart
Book Project Finance, Securitisation and Subordinated Debt 3rd Edition 19/07/2019 9780414044722 $519.20 Add to cart
Book Wood: The Regulation of International Finance 2e 19/07/2019 9780414044739 $621.60 Add to cart


Law and Regulation of Investment Management is an essential guide to the legal issues raised by investment management, including the nature of client services relationships, conflicts of interest and corporate governance, custody, contractual matters, and fiduciary duties.

  • Provides a complete guide to the law and regulation of investment management
  • Looks at the nature of the client services relationship
  • Considers internal compliance and the ramifications of conflicts of interest and information barriers
  • Examines the legal issues raised by settlement and custody
  • Discusses the fiduciary duties that arise through investment management
  • Looks at the contractual issues of the investment mandate
  • Provides an overview of key US legislation
  • Deals with investment management in the US, France, Germany, Luxembourg, Ireland and Hong Kong
  • Covers specialist areas such as Hedge Funds, closed ended funds, private equity funds
  • Includes analysis of national and international case law
  • Provides commentary and analysis on national and international legislation
New to this edition:
  • Examines the new regulatory structure post-MiFID II
  • Considers changes under AIFMD
  • Covers RTS and ITS under SFTR and amendments to related EMIR RTS
  • Includes updated case law


Table of Contents

Part 1: General
  1. Security Interests and World Financial Law
  2. Understanding English and American Security Interests
  3. Rationale and Meaning of Security Interests
  4. Classification of Main Sectors of Secured Finance
  5. Classification of Assets
  6. Classification of jurisdictions of the World
  7. English common law jurisdictions
  8. General review of the Napoleonic group
  9. Roman-Germanic jurisdictions group
  10. Other Jurisdiction


Part 2: Legal Topics
13 Parties: Debtors, Creditors and Trustees
14 Formalities, Costs and Taxes
15 Scope Of Security Interests and Universal Charges
16 Creation of Security Interests
17 Derivative assets, accessories and proceeds
18 Inalienable Assets; Negative Pledges
19 Publication (Perfection) of Security Interests: Principles
20 Perfection Under UCC Article 9
21 Perfection In English-Based Jurisdictions
22 Secured Debt
23 Transfers of Secured Debt
24 Priorities: Policies Classification
25 Priority over Unsecured Creditors: the Ladder
26 Summary of Priority Rules: Owners, Buyers, Other Secured Creditors
27 Priorities: Asset Title Registers
28 Filing Registers Indexed by Debtor
29 Priorities: Particular Contests
30 Subordinated Secured Debt
31 Avoidance of Security Interests as a Preference
32 Financial Assistance to Buy Own Shares
33 Enforcement of Security Interests
34 Enforcement on Insolvency
Part 3: Practice and Documents
35   Security Packages
36 Real Property
37 Security Interests over Goods
38 Ships and Aircraft
39 Contracts, Debts and Charge-backs
40 Security Interests over Investments
41 Security Interests over Insurances
42 Security Interests over Intellectual Property
43 Deal Implementation
44  Legal Opinion on Security Interests
45 Terms of Security Agreements I: Creation and Perfection
46 Security Agreements II: Secured debt; trustees; third party security
47 Security Agreements III: Representations; covenants
48 Security Agreements IV: Events of Default; Enforcement; Close
Part 4: Title Finance
49    Title Finance: General Principles
50 Title Finance: Finance Leases
51 Title Finance: Repos
52 EU Financial Collateral Directive 2002
53 Geneva Aircraft Convention of 1948
54 Cape Town Mobile Equipment Convention (Aircraft) 2001
55 Other International Instruments
56 Conflict of Laws I: Classification of Issues
57 Conflicts II: Contractual Aspects of Security Agreements


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