Investment Adviser Registration Package
Author : United States. Securities and Exchange Commission
Publisher :
Page : 84 pages
File Size : 38,17 MB
Release : 1994
Category : Investment advisors
ISBN :
Author : United States. Securities and Exchange Commission
Publisher :
Page : 84 pages
File Size : 38,17 MB
Release : 1994
Category : Investment advisors
ISBN :
Author : Terrance J. O'Malley
Publisher : Wolters Kluwer
Page : 1060 pages
File Size : 28,2 MB
Release : 2013-01-01
Category : Law
ISBN : 1454838493
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 :
Page : 0 pages
File Size : 14,18 MB
Release : 2006
Category : Business & Economics
ISBN : 9781402407710
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 :
Page : 158 pages
File Size : 35,41 MB
Release : 2000
Category : Disclosure of information
ISBN :
Author : United States. Office of Space and Terrestrial Applications
Publisher :
Page : 20 pages
File Size : 32,25 MB
Release : 1980
Category : Aeronautics
ISBN :
Author :
Publisher :
Page : 292 pages
File Size : 44,95 MB
Release : 2013-03
Category : Delegated legislation
ISBN :
Author :
Publisher :
Page : 50 pages
File Size : 33,15 MB
Release : 1988
Category :
ISBN :
Author : Thomas P. Lemke
Publisher :
Page : pages
File Size : 36,10 MB
Release : 2015
Category : Investment advisors
ISBN : 9780314832627
Author : Tamar Frankel
Publisher :
Page : 564 pages
File Size : 47,65 MB
Release : 1998
Category : Business & Economics
ISBN :
Author :
Publisher :
Page : 784 pages
File Size : 29,64 MB
Release : 1998
Category : Administrative law
ISBN :
Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries.