Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and FinancePublisher:
ISBN:
Category : Disclosure of information
Languages : en
Pages : 128
Book Description
Institutional Disclosure and Sales of Investment Company Advisers
Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and FinancePublisher:
ISBN:
Category : Disclosure of information
Languages : en
Pages : 140
Book Description
Institutional Disclosure and Sales of Investment Company Advisers, Hearing Before the Subcommittee on Commerce and Finance of ..., 93-2, Sept. 13, 1974
Author: United States. Congress. House. Committee on Interstate and Foreign CommercePublisher:
ISBN:
Category :
Languages : en
Pages : 130
Book Description
Institutional Disclosure and Sales of Investment Company Advisers
Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and FinancePublisher:
ISBN:
Category : Disclosure of information
Languages : en
Pages : 121
Book Description
Institutional Disclosure and Sales of Investment Company Advisers
Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and FinancePublisher:
ISBN:
Category : Disclosure of information
Languages : en
Pages : 121
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.
Regulation of Investment Advisers
Author: Thomas P. LemkePublisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 848
Book Description
Bank Mutual Funds
Author: United States. General Accounting OfficePublisher:
ISBN:
Category : Banks and banking
Languages : en
Pages : 152
Book Description
Growing Within the Lines
Author: Les AbromovitzPublisher: Summit Business Media
ISBN:
Category : Business & Economics
Languages : en
Pages : 160
Book Description
Challenging economic times can present ripe marketing opportunities for investment advisers to acquire new clients. However, Registered Investment Advisors (RIA), as well as other investment adviser representatives, may be all too familiar with how difficult it can be to attract clients in today s highly-regulated environment where there are a myriad of advertising pitfalls. "Growing within the Lines: The Investment Adviser s Advertising and Marketing Compliance Guide" offers frank discussions on: The rules of engagement for advisors marketing and advertising efforts Strategies to marking ethically and effectively, without stepping out of regulatory bounds Understanding how to fulfill your fiduciary duty to existing and prospective clients New ways to market your products and services, while reducing your risk and increasing awareness of common pit-falls and compliance issues
Investment Sales Compliance for Financial Institutions
Author: Lizbeth S. BergquistPublisher: Irwin Professional Publishing
ISBN:
Category : Business & Economics
Languages : en
Pages : 412
Book Description
New Rules for Investment Companies and Investment Advisers, Including Privacy, Governance, Fees, Names, After-tax Disclosure, and Advertising
Author: American Bar Association. Section of Business Law. Spring MeetingPublisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 124
Book Description