Author: United States. Securities and Exchange CommissionPublisher:
ISBN:
Category : Securities
Languages : en
Pages : 36
Book Description
Investment Advisers Act of 1940, as in Effect July 1, 1974
Author: United States. Securities and Exchange CommissionPublisher:
ISBN:
Category : Securities
Languages : en
Pages : 36
Book Description
Investment Advisers Act of 1940, as in Effect July 1, 1974
Author: United States. Securities and Exchange CommissionPublisher:
ISBN:
Category : Securities
Languages : en
Pages : 0
Book Description
Investment Company Act of 1940 as in Effect November 1, 1974
Author: United StatesPublisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 87
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.
Monthly Catalog of United States Government Publications
Author: Publisher:
ISBN:
Category : Government publications
Languages : en
Pages : 2834
Book Description
United States Code
Author: United StatesFederal Register
Author: Publisher:
ISBN:
Category : Delegated legislation
Languages : en
Pages : 1660
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.
Investment Adviser Regulation
Author: Clifford E. KirschPublisher:
ISBN: 9781402407710
Category : Business & Economics
Languages : en
Pages : 0
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.
Code of Federal Regulations
Author: Publisher:
ISBN:
Category : Administrative law
Languages : en
Pages : 1462
Book Description
Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries.