Investment Adviser Compliance and Supervisory Guidelines Manual PDF Download
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Author: National Compliance Service
Publisher:
ISBN:
Category : Investment advisors
Languages : en
Pages :
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Book Description
Author: National Compliance Service
Publisher:
ISBN:
Category : Investment advisors
Languages : en
Pages :
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Book Description
Author: Terrance J. O'Malley
Publisher: Wolters Kluwer
ISBN: 1454838493
Category : Law
Languages : en
Pages : 1060
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Book Description
Investment Adviser's Legal and Compliance Guide, Second Edition is an invaluable guide written to assist attorneys and investment advisers in both drafting their compliance policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for experienced attorneys and compliance officers for fulfilling their changing responsibilities under new rules adopted under the Investment Advisers Act of 1940, as well as new staff interpretations and guidance. For the Second Edition, the original author, Terrance J. Oand’Malley, is joined by John H. Walsh. While both authors are seasoned practitioners and acknowledged experts in the area of investment adviser compliance matters, Mr. Walshand’s years of experience, including at the SEC, are reflected in the enhanced practical discussion of relevant legal and compliance issues, including increased numbers of compliance tips, enforcement and regulatory alerts, and compliance tools. Investment Adviser's Legal and Compliance Guide, Second Edition covers in detail such topics as: Filings and amendments that an adviser must make to maintain its SEC registration Major rules and requirements dealing with marketing and attracting new clients Issues arising in connection with the management of private funds The SEC's examination process New clients, and the management of client accounts. The book also covers requirements relating to the adviser's obligation to its customers, including preventing insider trading and other trading abuses, as well as an adviser's recordkeeping, which is a major factor in meeting the requirements of the Investment Advisers Act. In addition, Investment Adviser's Legal and Compliance Guide, Second Edition provides registered investment advisers and their legal counsel with a comprehensive review of their compliance responsibilities that arise under the Investment Advisers Act.
Author: O'Malley, Walsh
Publisher: Wolters Kluwer
ISBN: 1543812562
Category : Law
Languages : en
Pages : 990
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Book Description
Investment Adviser's Legal and Compliance Guide
Author: United States Sentencing Commission
Publisher:
ISBN:
Category : Criminal justice, Administration of
Languages : en
Pages : 556
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Book Description
Author: Les Abromovitz
Publisher:
ISBN: 9781941627938
Category :
Languages : en
Pages : 0
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Book Description
Given the current activities of SEC and state securities regulators, as well as the changing business and communication landscapes, investment advisors today must keep current with developments affecting compliance at all levels and in all jurisdictions. The Investment Advisor's Compliance Guide, 2nd Edition delivers a concise yet comprehensive explanation of the rules and how they affect the work you do on a daily basis--no matter where you're registered. The completely enhanced and updated Investment Advisor's Compliance Guide, 2nd Edition, provides highly practical guidance covering all of today's compliance issues, including: -The DOL's new fiduciary rule -RIA advertising, including the use of client testimonials, credentials, and performance results -The use of today's top social media platforms -Client communications, including disclosures -Recent ethical decisions Designed to go far beyond basic compliance rules, The Investment Advisor's Compliance Guide, 2nd Edition, will also help advisors avoid compliance issues, deal with client complaints, and grow their business with the confidence that their actions are well suited to withstand the strictest scrutiny from clients and regulators alike. The expert author, Les Abromovitz, J.D., has extensive experience handling compliance consulting assignments for Registered Investment Advisers (RIAs). In The Investment Advisor's Compliance Guide, 2nd Edition, he has created a completely up-to-date, reader-friendly, go-to-resource for investment advisors, vital for veterans but also a powerful training tool for those new to the field. .
Author: Clifford E. Kirsch
Publisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 988
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Book Description
Author: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 318
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Book Description
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Mutual funds
Languages : en
Pages : 974
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Book Description
Author: Les Abromovitz
Publisher: Summit Business Media
ISBN:
Category : Business & Economics
Languages : en
Pages : 160
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Book Description
Challenging economic times can present ripe marketing opportunities for investment advisers to acquire new clients. However, Registered Investment Advisors (RIA), as well as other investment adviser representatives, may be all too familiar with how difficult it can be to attract clients in today s highly-regulated environment where there are a myriad of advertising pitfalls. "Growing within the Lines: The Investment Adviser s Advertising and Marketing Compliance Guide" offers frank discussions on: The rules of engagement for advisors marketing and advertising efforts Strategies to marking ethically and effectively, without stepping out of regulatory bounds Understanding how to fulfill your fiduciary duty to existing and prospective clients New ways to market your products and services, while reducing your risk and increasing awareness of common pit-falls and compliance issues
Author:
Publisher: Lulu.com
ISBN: 9291316695
Category : Bank capital
Languages : en
Pages : 294
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Book Description
