Author: Clifford E. Kirsch
Publisher:
ISBN: 9781402407710
Category : Business & Economics
Languages : en
Pages : 0
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Book Description
Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.
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: Jeffrey J. Haas
Publisher: West Academic Publishing
ISBN: 9780314172655
Category : Brokers
Languages : en
Pages : 0
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Book Description
Softbound - New, softbound print book.
Author: Thomas P. Lemke
Publisher:
ISBN: 9780314832627
Category : Investment advisors
Languages : en
Pages :
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Book Description
Author: Tamar Frankel
Publisher:
ISBN: 9781454870678
Category : Investment advisors
Languages : en
Pages : 0
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Book Description
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Mutual funds
Languages : en
Pages : 1004
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Book Description
Author: Douglas L. Hammer
Publisher: American Bar Association
ISBN: 9781590312971
Category : Business & Economics
Languages : en
Pages : 398
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Book Description
This authoritative resource surveys federal securities laws and rules applicable to the organization, capitalization and operations of private U.S. domestic investment partnerships that invest and trade mainly in the public securities markets. Includes a detailed index.
Author: Thomas P. Lemke
Publisher:
ISBN: 9780820520056
Category : Law
Languages : en
Pages :
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Book Description
The price quoted for the work covers one year's worth of service. The upkeep price for the work is $147.00 (updated with revisions).
Author: Robert A. Fippinger
Publisher:
ISBN:
Category : Bonds
Languages : en
Pages : 480
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Book Description
Author: Tamar Frankel
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 564
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Book Description
