Investment Company Amendments of 1967, S.1659, Analysis of S.1659, Comparative Print Showing Changes in Existing Law 1967 PDF Download
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Author: United States. Congress. Senate. Banking and Currency Committee
Publisher:
ISBN:
Category :
Languages : en
Pages : 136
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Author: United States. Congress. Senate. Committee on Banking and Currency
Publisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 514
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Book Description
Author: United States. Congress. Senate. Committee on Banking and Currency
Publisher:
ISBN:
Category : Mutual funds
Languages : en
Pages : 132
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Author: United States. Congress. Senate. Banking and Currency Committee
Publisher:
ISBN:
Category :
Languages : en
Pages : 136
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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: United States. Congress. House. Committee on Interstate and Foreign Commerce
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 442
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Book Description
Reviews scope, composition and recent activities of SEC, together with legislative changes contemplated in H.R. 5001, to amend Securities Act of 1933, H.R. 2480, to amend Securities Exchange Act of 1934, H.R. 5002, to amend Trust Indenture Act of 1939, H.R. 2481, to amend Investment Company Act of 1940, and H.R. 2482, to amend Investment Advisers Act of 1940.
Author: United States. Congress Senate
Publisher:
ISBN:
Category : Mutual funds
Languages : en
Pages : 136
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Book Description
Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher:
ISBN:
Category : Government publications
Languages : en
Pages : 460
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Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher:
ISBN:
Category : Investments
Languages : en
Pages : 3
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Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Consumer Protection and Finance
Publisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 160
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Book Description
Author: United States. Congress. Senate. Committee on Banking and Currency
Publisher:
ISBN:
Category : Investments
Languages : en
Pages : 10
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