Author:David Berman

Publisher: Sweet & Maxwell

Edition: 3rd, 28.8.2024

Price: GBP 115.- (Hardback)

Market Conduct for Investment Managers is designed to help investment professionals navigate this important and complex area by raising levels of awareness and intuitive understanding through the use of real-world insights, case studies and practical scenarios. Now in its third edition, this publication is widely-regarded as the authoritative practical guide on this important topic and essential reading for investment management professionals.

This third edition has been updated to include new content on:

• Guidance provided by the FCA in Market Watch 75, published in October 2023
• SEC warnings in April 2022 over the use of alternative data by investment managers
• The regulatory treatment of investee company meetings and dialogue under the definition of MNPI
• The FCA’s enforcement action and resulting financial penalty imposed on Sir Christopher Gent for the unlawful disclosure of inside information
• The risk management roles and responsibilities of the first line of defence within a firm
• Recent practical examples, including: enforcement cases, which assist in interpreting and applying the market conduct requirements in the context of asset management.