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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION § 42A:4.2 Investment Advice ............................................42A-8 § 42A:4.3 Investment Education.......................................42A-9 § 42A:4.4 Proposal to Redefine “Fiduciary” Under ERISA ....................................................42A-9 § 42A:4.5 Prohibited Transactions ..................................42A-10 § 42A:4.6 Co-Fiduciary Liability .....................................42A-11 § 42A:5 Action Items .............................................................42A-12 § 42A:6 Conclusion ...............................................................42A-18 PART XIV: Broker-Dealer Cross-Border Activities Chapter 42B Offering Cross-Border Advisory and Broker-Dealer Services to Non-U.S. Clients Christopher D. Christian § 42B:1 Introduction................................................................42B-3 § 42B:2 Key Considerations for Advisers Dealing with Non-U.S. Clients ........................................................42B-3 § 42B:2.1 Scope of the Investment Advisers Act ..............42B-3 § 42B:2.2 Statutory Reach to Non-U.S. Clients ...............42B-5 [A] Overview............................................................42B-5 [B] Regulation of Registered Non-U.S. Advisers......42B-5 [C] Regulation of Registered U.S. Advisers ..............42B-6 § 42B:2.3 General Client Relations and Anti-Fraud Considerations..................................................42B-7 [A] Overview............................................................42B-7 [B] Direct Advisory Services ....................................42B-7 [C] Considerations for Pooled Vehicles....................42B-8 § 42B:2.4 Fiduciary Duty Owed to All Clients.................42B-9 § 42B:2.5 Disclosure Obligations ...................................42B-10 § 42B:2.6 Brochure Rule .................................................42B-11 [A] Overview..........................................................42B-11 [B] Form ADV Filing Requirements ......................42B-12 [C] Annual Delivery Requirements........................42B-13 § 42B:2.7 Fees.................................................................42B-13 § 42B:2.8 Cash Solicitation Rule ....................................42B-14 § 42B:2.9 Advertising......................................................42B-15 § 42B:2.10 Suitability .......................................................42B-17 § 42B:2.11 Custody ..........................................................42B-17 [A] Overview..........................................................42B-17 [B] [C] Definition of Custody......................................42B-18 Attribution to Adviser of Custody of a Related Person ..............................................42B-19 cxxxvi

Table of Contents [D] Implications for Having Custody ....................42B-20 [E] Special Provision for Pooled Investment Vehicles............................................................42B-20 [F] Operationally Independent Advisers................42B-21 § 42B:2.12 Books and Records..........................................42B-21 § 42B:2.13 Wrap Fee Programs .........................................42B-22 § 42B:2.14 Use of Adviser Performance Record................42B-22 § 42B:2.15 Contract Issues...............................................42B-23 § 42B:3 Key Considerations for U.S. Broker-Dealers Dealing with Non-U.S. Clients ................................42B-23 § 42B:3.1 Scope of the Exchange Act Registration Provisions .......................................................42B-24 [A] Overview..........................................................42B-24 [B] Application to U.S. Entities Selling to Non-U.S. Clients.............................................42B-25 [C] Wholesaling Non-U.S. Funds to U.S. Intermediaries with NRA Clients from within the United States .................................42B-25 [D] Application to Foreign Intermediaries .............42B-26 § 42B:3.2 Application of FINRA Licensing Provisions .......................................................42B-27 § 42B:3.3 Applicability of FINRA Communication Rules to Sales of Non-U.S. Funds ..................42B-29 § 42B:3.4 Applicability of Securities Act to the Sale of Securities to Non-U.S. Persons.......................42B-29 [A] Overview..........................................................42B-29 [B] Scope of Regulation S ......................................42B-30 [B][1] “Offshore Transactions”.................................42B-33 [B][2] “Directed Selling Efforts” ...............................42B-33 [C] Regulation S Compliance Considerations .......42B-35 § 42B:3.5 Application of the Investment Company Act .................................................42B-36 § 42B:3.6 Compliance with Local Law ...........................42B-36 § 42B:3.7 Other Material Considerations.......................42B-37 [A] Anti-Fraud Provisions ......................................42B-37 [B] Duty of Fair Dealing........................................42B-37 [C] Suitability Requirements .................................42B-38 [D] Anti-Money Laundering Considerations .........42B-38 [E] Data Protection/Regulation S-P .......................42B-39 § 42B:4 Navigating Global Regulatory Requirements ............42B-39 § 42B:4.1 Non-U.S. Considerations in Offering Advisory Services ............................................42B-39 [A] Overview..........................................................42B-39 [B] Licensing Considerations.................................42B-40 [B][1] Managed Accounts ........................................42B-40 (Broker-Dealer Reg., Rel. #3, 5/13) cxxxvii

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