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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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Table of Contents VOLUME 1 About th
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[A] Generally .....................
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Table of Contents Chapter 3 Brokers
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Table of Contents Chapter 5 Broker-
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Table of Contents § 5A:6.2 Exempti
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Table of Contents [E] Damages .....
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Table of Contents § 6:7.5 Qualific
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§ 8:3.5 Training..................
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§ 10:5 Harmonizing the Broker-Deal
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Table of Contents § 12:2.7 Use of
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§ 13:2 Establishment and Maintenan
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§ 13:4.2 Firm-Initiated Transfers
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[B][2] Disclosures Applicable to Mu
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Table of Contents [C][2] Financial
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§ 15:2.3 MSRB Rules ..............
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[D][3] SEC v. Materia: Misappropria
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§ 17:4 SRO Research Rules.........
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§ 17:6 Global Research Analyst Set
Page 37 and 38: § 18:5.2 Definition of Exchange ..
Page 39 and 40: § 18:7.2 Exchange Act Rule 15c3-5
Page 41 and 42: [D] Price Improvement .............
Page 43 and 44: Table of Contents § 20:5.2 The Dut
Page 45 and 46: Table of Contents [D] Introducing B
Page 47 and 48: § 25:3 Understanding the Arrangeme
Page 49 and 50: Table of Contents § 25:17.31 Anti-
Page 51 and 52: Table of Contents § 27:7.1 Disclos
Page 53 and 54: Table of Contents § 28:2.4 Fraudul
Page 55 and 56: [C] Risk Management for Banks......
Page 57 and 58: Table of Contents Chapter 31A SEC a
Page 59 and 60: PART X: Compliance, Examinations, a
Page 61 and 62: Table of Contents § 33:3.8 Where R
Page 63 and 64: [B] Administrative Proceedings.....
Page 65 and 66: § 36:2.2 To What Extent Should the
Page 67 and 68: Table of Contents § 37:4.1 Broker-
Page 69 and 70: Table of Contents § 37B:2.3 Arbitr
Page 71 and 72: § 37C:3.2 Institutional Investment
Page 73 and 74: Table of Contents § 37D:3 Treasury
Page 75 and 76: Table of Contents § 38:6.4 Educati
Page 77 and 78: § 39:5.6 Rule G-34 CUSIP Numbers a
Page 79 and 80: § 40:2.2 Municipal Entity and Obli
Page 81 and 82: Table of Contents [E] Communication
Page 83 and 84: § 42:4.3 Exclusive Benefit Rule...
Page 85 and 86: Table of Contents [C] Underwriting
Page 87: Table of Contents [D] Implications
Page 91 and 92: Table of Contents § 42D:3.3 Applic
Page 93 and 94: § 42E:6 Considerations in Connecti
Page 95 and 96: PART XVI: Special Topics Table of C
Page 97 and 98: § 44:4 FINRA Rule 5121 (Public Off
Page 99 and 100: § 44:9.3 Procedures Required by Ru
Page 101 and 102: [B][3] Stabilizing When the Princip
Page 103 and 104: Chapter 46 U.S. Securities Activiti
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