Author: Publisher:
ISBN:
Category : Brokers
Languages : en
Pages :
Book Description
A Broker-dealer Compliance Conference for the Financial Services Industry
Author: Financial Services Industry Regulatory Compliance & Ethics Forum
Author: National Regulatory Services Supervision/compliance Conference
Author: National Regulatory Services, IncPublisher:
ISBN:
Category : Insider trading in securities
Languages : en
Pages :
Book Description
National Regulatory Services Supervision ; Compliance Conference
Author: National Regulatory Services, IncPublisher:
ISBN:
Category :
Languages : en
Pages :
Book Description
Guide to Broker-dealer Compliance
Author: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory CommitteePublisher:
ISBN:
Category : Securities
Languages : en
Pages : 318
Book Description
Broker-Dealer Compliance
Author: James A. FantoPublisher: Edward Elgar Publishing
ISBN: 1800889577
Category : Law
Languages : en
Pages : 223
Book Description
Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years.
Broker-Dealer Law and Regulation, 5th Edition
Author: Poser, Fanto, GrossPublisher: Wolters Kluwer Law & Business
ISBN: 1543804969
Category : Stockbrokers
Languages : en
Pages : 1920
Book Description
Insurance Industry and Financial Services Litigation
Author: Publisher:
ISBN:
Category : Financial services industry
Languages : en
Pages : 428
Book Description
Investment Adviser's Legal and Compliance Guide
Author: Terrance J. O'MalleyPublisher: Wolters Kluwer
ISBN: 1454838493
Category : Law
Languages : en
Pages : 1060
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.
Broker-dealer Compliance Conference
Author: Glasser LegalWorksPublisher:
ISBN:
Category : Brokers
Languages : en
Pages : 234
Book Description