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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION § 42C:13 Financial Resources and Prudential Obligations .... 42C-41 § 42C:14 Market Conduct Obligations.................................. 42C-43 § 42C:14.1 Market Abuse ................................................ 42C-43 § 42C:14.2 Insider Dealing .............................................. 42C-46 § 42C:14.3 Misleading Statements and Practices ............ 42C-47 § 42C:14.4 Transparency Obligations .............................. 42C-48 § 42C:14.5 Short Selling Restrictions and Disclosure Requirements................................................. 42C-48 § 42C:15 Conduct of Business and Other Obligations to Clients.................................................................... 42C-49 § 42C:15.1 General Conduct of Business Obligations..... 42C-49 § 42C:15.2 Conflicts of Interest....................................... 42C-50 § 42C:15.3 Treating Customers Fairly ............................. 42C-51 § 42C:15.4 Categorizing Clients ...................................... 42C-52 [A] Retail Clients.................................................. 42C-52 [B] Professional Clients ........................................ 42C-52 [C] Eligible Counterparties ................................... 42C-53 § 42C:15.5 Communicating with Clients........................ 42C-54 § 42C:15.6 Client Agreements, Appropriateness, and Suitability ............................................... 42C-56 § 42C:15.7 Dealing and Managing .................................. 42C-58 [A] Best Execution ................................................ 42C-58 [B] Other Requirements on Dealing and Managing........................................................ 42C-59 § 42C:15.8 Investment Research...................................... 42C-59 § 42C:15.9 Reporting to the Client.................................. 42C-60 § 42C:15.10 Protection of Client Assets and Client Money............................................... 42C-62 § 42C:16 Reporting Obligations to the FSA .......................... 42C-64 § 42C:16.1 Notifications to the FSA................................ 42C-64 § 42C:16.2 Transaction Reporting.................................... 42C-65 Chapter 42D Offering Cross-Border Investment Products and Advisory Services to Clients in Latin America Christopher D. Christian § 42D:1 Introduction .............................................................42D-2 § 42D:2 Application of U.S. Regulation.................................42D-3 § 42D:3 Offering Mutual Funds to Latin American Clients ..................................................... 42D-4 § 42D:3.1 Tax Considerations.......................................... 42D-4 [A] U.S. Mutual Funds ...........................................42D-5 [B] Foreign Mutual Funds ......................................42D-5 § 42D:3.2 Application of the Exchange Act ..................... 42D-6 [A] Direct Sales....................................................... 42D-6 [B] Wholesaling ......................................................42D-8 cxl

Table of Contents § 42D:3.3 Application of FINRA Licensing Provisions ........................................................ 42D-9 § 42D:3.4 Applicability of FINRA Sales Literature Rules ............................................. 42D-10 [A] Institutional Sales Material ............................ 42D-11 [B] Interpretive Guidance ..................................... 42D-12 § 42D:3.5 Application of the Securities Act ................... 42D-13 [A] Scope of Regulation S ..................................... 42D-13 [A][1] “Offshore Transactions”................................ 42D-16 [A][2] “Directed Selling Efforts” .............................. 42D-16 [B] Regulation S Compliance Considerations ...... 42D-18 § 42D:3.6 Application of the Investment Company Act ................................................ 42D-19 § 42D:3.7 Compliance with Local Law .......................... 42D-19 § 42D:3.8 Other Material Considerations...................... 42D-20 [A] Anti-Fraud Provisions ..................................... 42D-20 [B] Duty of Fair Dealing....................................... 42D-20 [C] Suitability Requirements ................................ 42D-21 [D] Anti-Money Laundering Considerations ........ 42D-21 [E] Data Protection/Regulation S-P ...................... 42D-22 § 42D:4 Offering Advisory Services to Latin American Clients ..................................................................... 42D-22 § 42D:4.1 Application of the Investment Advisers Act................................................... 42D-22 § 42D:4.2 Investment Advisers Act Client Relationship Rules ......................................... 42D-24 [A] General Anti-Fraud Considerations................ 42D-24 [B] Fiduciary Duty Owed to All Clients............... 42D-26 [C] Disclosure Obligations.................................... 42D-27 [D] Fees................................................................. 42D-29 [E] Cash Solicitation Rule .................................... 42D-30 [F] Advertising...................................................... 42D-31 [G] Suitability ....................................................... 42D-33 [H] Wrap Fee Programs ......................................... 42D-33 [I] Contract Issues............................................... 42D-34 [J] Know-Your-Customer Obligations .................. 42D-34 § 42D:5 Navigating Local Latin American Regulatory Requirements........................................................... 42D-36 § 42D:5.1 Brokerage Services ......................................... 42D-36 § 42D:5.2 Offering Advisory Services............................. 42D-37 [A] Licensing Considerations................................ 42D-37 [B] Marketing Considerations .............................. 42D-38 [C] Client Servicing Considerations ..................... 42D-40 [D] Other Considerations ..................................... 42D-40 § 42D:5.3 Offering Pooled Products Directly ................. 42D-41 (Broker-Dealer Reg., Rel. #3, 5/13) cxli

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