Investment Adviser's Legal and Compliance Guide, 3rd Edition PDF Download

Author: O'Malley, Walsh
Publisher: Wolters Kluwer
ISBN: 1543812562
Category : Law
Languages : en
Pages : 990

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Investment Adviser's Legal and Compliance Guide

Author: Thomas P. Lemke
Publisher:
ISBN: 9780820520056
Category : Law
Languages : en
Pages :

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The price quoted for the work covers one year's worth of service. The upkeep price for the work is $147.00 (updated with revisions).

Author:
Publisher:
ISBN:
Category : Mutual funds
Languages : en
Pages : 678

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Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Mutual funds
Languages : en
Pages : 974

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Author: Clifford E. Kirsch
Publisher:
ISBN: 9781402407710
Category : Business & Economics
Languages : en
Pages : 0

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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: Susan A. Johnston
Publisher: Warren Gorham & Lamont
ISBN: 9780791337639
Category : Mutual funds
Languages : en
Pages :

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Author: United States. Securities and Exchange Commission. Division of Investment Management
Publisher:
ISBN:
Category : Investments
Languages : en
Pages : 586

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Author: United States. Securities and Exchange Commission. Division of Investment Management
Publisher: Securities and Exchange Commission
ISBN:
Category : Business & Economics
Languages : en
Pages : 580

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Author: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 318

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Author: Harvey E. Bines
Publisher: Wolters Kluwer
ISBN: 0735530483
Category : Law
Languages : en
Pages : 968

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Book Description
In its First Edition, this classic treatise called attention to the duty of reasonable care, the duty of loyalty and the public duty of fiduciaries to the marketplace. Grounded in the idea that prudent investing is to be defined by professional practices accepted as appropriate at the time of investment by the management, thereby permitting such practices to adapt to changing conditions and insights, the field of investment management law and regulation has at its center the goal of a common standard of care for investment.Now in its Second Edition, this definitive guide to investment management law and regulation helps you to profitably adapt to today's new and changing conditions and anticipate tomorrow's regulatory response.Here are just a few of the reasons why Investment Management Law and Regulation will be so valuable to you:Explains and analyzes all the ins and outs of the law, clarifies the complexities, answers your questions, points out pitfalls and helps you avoid themCovers the entire field in one volume, saves you valuable time and effort in finding information and searching through stacks of referencesEnsures compliance with all relevant regulations, makes sure nothing is overlooked, protects you against costly mistakesUpdates you on the latest important changes, tells you what is happening now and what is likely to happen in the future Investment Management Law and Regulation is the only up-to-date volume to offer a comprehensive examination of the field of investment management law, covering everything from financial theory and legal theory to the various aspects of hands-on fund management. It's the only resource of its kind that:Identifies and explains the financial theories that control the development of investment management law across management activitiesGives critical judicial, legislative, and regulatory history that makes recent law and regulation more comprehensibleCovers all areas of regulation governing the activities of investment managers, including marketing, suitability, advisory contacts, fees, exculpation and indemnification, performance, fiduciary obligations, conflicts of interest, best executionProvides the practical tools that help predict more effectively how regulators will respond to new marketplace developments and productsIntegrates investment management law and regulation for all institutional investment managersAnd more Whether you are a manager, broker, banker, or legal counsel, a seasoned professional or just starting out, this treatise will quickly become your most trusted guide through the intricacies of this complex, critical, and closely scrutinized area