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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION [B][2] Commingled Funds .......................................42B-41 [C] Marketing Considerations ...............................42B-42 [D] Client Servicing Considerations ......................42B-43 [E] Other Considerations ......................................42B-44 § 42B:4.2 Non-U.S. Considerations in Offering Broker-Dealer Services to Non-U.S. Persons ...........................................42B-45 [A] Brokerage Services............................................42B-45 [B] Offering Shares of Pooled Products..................42B-46 § 42B:5 Other Material Considerations.................................42B-46 § 42B:5.1 Know-Your-Customer Obligations ..................42B-46 [A] Application of U.S. Bank Secrecy Laws ...........42B-47 [B] Application of Foreign Law..............................42B-48 § 42B:5.2 Shareholder Reporting Obligations .................42B-48 [A] U.S. Reporting Obligations..............................42B-48 [A][1] Sections 13(d) and 13(g) of the Exchange Act .................................................42B-49 [A][2] Section 13(f) of the Exchange Act..................42B-49 [A][3] Section 13(h) of the Exchange Act.................42B-50 [A][4] Section 16 of the Exchange Act .....................42B-51 § 42B:5.3 Anti-Bribery Legislation..................................42B-51 [A] The Foreign Corrupt Practices Act ..................42B-51 [B] UK Bribery Act of 2010 ...................................42B-53 § 42B:5.4 Use of Affiliates ..............................................42B-55 [A] Taxation Considerations..................................42B-55 [B] Non-U.S. Regulatory Considerations...............42B-56 Chapter 42C Broker-Dealer and Investment Advisers Regulation in the United Kingdom: An Overview Andrew J.H. Henderson § 42C:1 Introduction............................................................... 42C-3 § 42C:1.1 European Dimension....................................... 42C-4 § 42C:1.2 Financial Services and Markets Act and Other UK Laws................................................ 42C-5 § 42C:1.3 Measures Made by Regulators, Exchanges and Clearing Houses, and Industry Bodies......................................... 42C-6 § 42C:2 Financial Services Authority ...................................... 42C-7 § 42C:2.1 Establishment, Objectives and Powers ............ 42C-7 § 42C:2.2 FSA Handbook ................................................ 42C-8 § 42C:3 General Prohibition and the Requirement to Be Authorized ............................................................... 42C-10 § 42C:3.1 Authorization and Exemption ....................... 42C-10 cxxxviii

§ 42C:3.2 Consequences of Breaching the General Prohibition..................................................... 42C-11 § 42C:3.3 Determining Whether Activities Breach the General Prohibition................................. 42C-11 § 42C:4 Regulated Activities and Specified Investments ..... 42C-13 § 42C:4.1 MiFID and the RAO...................................... 42C-13 § 42C:4.2 Regulated Activities and Exclusions .............. 42C-14 [A] Dealing in Investments As Principal.............. 42C-15 [B] Dealing in Investments As Agent................... 42C-16 [C] Arranging Deals in Investments..................... 42C-16 [D] Managing Investments ................................... 42C-18 [E] Safeguarding and Administering Investments .................................................... 42C-18 [F] Advising on Investments ................................ 42C-18 [G] Agreeing to Carry On Activities ..................... 42C-19 § 42C:4.3 General Exemptions ...................................... 42C-19 [A] Activities Carried On in the Course of a Profession or Non-Investment Business......... 42C-19 [B] Groups and Joint Enterprises ......................... 42C-19 [C] Table of Contents Activities Carried On in Connection with the Sale of a Body Corporate.................. 42C-20 [D] Overseas Person Exemption............................ 42C-20 § 42C:4.4 Specified Investments .................................... 42C-21 § 42C:5 Financial Promotion and Marketing ...................... 42C-22 § 42C:6 Authorization Process............................................. 42C-24 § 42C:6.1 FSA Application Pack .................................... 42C-24 § 42C:6.2 Application Complexity and Fees.................. 42C-25 § 42C:6.3 Timeframe for Granting Authorization ......... 42C-26 § 42C:7 Threshold Conditions for Authorization................ 42C-26 § 42C:7.1 Requirements on Permission......................... 42C-26 § 42C:7.2 Threshold Conditions ................................... 42C-27 § 42C:8 Approved Persons and Controlled Functions ......... 42C-29 § 42C:8.1 Fitness and Properness .................................. 42C-30 [A] Honesty, Integrity, and Reputation................. 42C-30 [B] Competence and Capability ........................... 42C-30 [C] Financial Soundness ....................................... 42C-31 § 42C:8.2 Key Categories of Controlled Functions ........ 42C-31 [A] Significant Influence Functions ...................... 42C-31 § 42C:9 Appointed Representatives and Tied Agents .......... 42C-33 § 42C:10 Providing Cross-Border Services and Branch Arrangements in Other EEA States........................ 42C-34 § 42C:11 Principles for Business As the Primary Source of a Regulated Firm’s Obligations............... 42C-36 § 42C:12 Senior Management Arrangements, Systems, and Controls .......................................................... 42C-38 (Broker-Dealer Reg., Rel. #3, 5/13) cxxxix

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