Investment Adviser Registration Package PDF Download
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Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 84
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Book Description
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 84
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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: 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:
Publisher:
ISBN:
Category : Disclosure of information
Languages : en
Pages : 158
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Book Description
Author: Tamar Frankel
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 564
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Book Description
Author:
Publisher:
ISBN:
Category :
Languages : en
Pages : 50
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Book Description
Author: Thomas P. Lemke
Publisher:
ISBN: 9780314832627
Category : Investment advisors
Languages : en
Pages :
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Book Description
Author: Dave Ramsey
Publisher: Lampo
ISBN: 9780963571236
Category : Business & Economics
Languages : en
Pages : 268
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Book Description
Dave Ramsey explains those scriptural guidelines for handling money.
Author:
Publisher:
ISBN:
Category : Government publications
Languages : en
Pages : 1064
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Book Description
Author: Elayne Robertson Demby
Publisher: John Wiley & Sons
ISBN: 0470885084
Category : Business & Economics
Languages : en
Pages : 316
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Book Description
Registered investment advisers are accustomed to regulatory scrutiny. But the pressure to understand changing compliance regulations and to meet the requirements they impose has never been more intense. A range of scandals and abuses—from the laundering of terrorist funds to mutual fund trading shenanigans—has caused the Securities and Exchange Commission to tighten regulation and step up enforcement. Unfortunately, definitive compliance information—the kind that can save advisers precious time and spare them serious trouble--has not been easy to find. Until now. The RIA's Compliance Solution Book gathers the information needed most and puts it all in one place. Here advisers will find plain-English translations of the rules that regulate such issues as: advisory contracts and fees advertising and client communications RIA compliance programs and codes of ethics custody of customer accounts completing, filing, and amending Form ADV selecting brokers and executing trades
