Author: Thomas P. LemkePublisher:
ISBN: 9780314832627
Category : Investment advisors
Languages : en
Pages :
Book Description
Regulation of Investment Advisers
Author: Thomas P. LemkePublisher:
ISBN: 9780314832627
Category : Investment advisors
Languages : en
Pages :
Book Description
Investment Advisers Act Amendments
Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Consumer Protection and FinancePublisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 160
Book Description
Congressional Record
Author: United States. CongressPublisher:
ISBN:
Category : Law
Languages : en
Pages : 1324
Book Description
Federal Election Campaign Laws
Author: United StatesPublisher:
ISBN:
Category : Campaign funds
Languages : en
Pages : 246
Book Description
Fiduciary Law
Author: Tamar FrankelPublisher:
ISBN: 019539156X
Category : Law
Languages : en
Pages : 334
Book Description
In Fiduciary Law, Tamar Frankel examines the structure, principles, themes, and objectives of fiduciary law. Fiduciaries, which include corporate managers, money managers, lawyers, and physicians among others, are entrusted with money or power. Frankel explains how fiduciary law is designed to offer protection from abuse of this method of safekeeping. She deals with fiduciaries in general, and identifies situations in which fiduciary law falls short of offering protection. Frankel analyzes fiduciary debates, and argues that greater preventive measures are required. She offers guidelines for determining the boundaries and substance of fiduciary law, and discusses how failure to enforce fiduciary law can contribute to failing financial and economic systems. Frankel offers ideas and explanations for the courts, regulators, and legislatures, as well as the fiduciaries and entrustors. She argues for strong legal protection against abuse of entrustment as a means of encouraging fiduciary services in society. Fiduciary Law can help lawyers and policy makers designing the future law and the systems that it protects.
Review of Current Information in the Treasury Department Library
Author: United States. Department of the Treasury. LibraryPublisher:
ISBN:
Category :
Languages : en
Pages : 240
Book Description
Model Rules of Professional Conduct
Author: American Bar Association. House of DelegatesPublisher: American Bar Association
ISBN: 9781590318737
Category : Law
Languages : en
Pages : 216
Book Description
The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Investment Adviser's Legal and Compliance Guide, 3rd Edition
Author: O'Malley, WalshPublisher: Wolters Kluwer
ISBN: 1543812562
Category : Law
Languages : en
Pages : 990
Book Description
Investment Adviser's Legal and Compliance Guide
Annual Report of the Securities and Exchange Commission
Author: United States. Securities and Exchange CommissionPublisher:
ISBN:
Category : Securities
Languages : en
Pages : 250
Book Description
Financial Planners and Investment Advisers
Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Consumer AffairsPublisher:
ISBN:
Category : Consumer protection
Languages : en
Pages : 248
Book Description