U.S. Regulation for Asset Managers Outside the United States

Sets out US regulation of investment advisers, including compliance and record keeping requirements Explains investment adviser advertising Details SEC inspections and enforcement procedures Goes through sharing resources among registered and unregistered affiliates and participating affiliate arrangements Takes account of developments regarding hedge fund adviser registration Reflects the impact of investment company regulation on investment advisers to US regulated funds Assesses US regulations affecting investment advisers to Employee Benefit Plan (ERISA) clients Covers US reporting requirements for asset managers, their regulation by the Commodity Futures Trading Commission and the conducting of broker-dealer activities in the United States Examines the marketing non-US investment products to US investors Includes state regulation of non-US investment advisers and portfolio managers Looks at the application of US economic and trade sanctions to asset managers outside of the United States Describes US tax considerations in marketing non-US investment products to US investors