Author: Thomas P. LemkePublisher: Clark Boardman Callaghan
ISBN: 9780876329658
Category : Investment advisors
Languages : en
Pages :
Book Description
Regulation of Investment Advisers, 1993
Author: Thomas P. LemkePublisher: Clark Boardman Callaghan
ISBN: 9780876329658
Category : Investment advisors
Languages : en
Pages :
Book Description
Investment Adviser Regulatory Enhancement and Disclosure Act of 1993. April 29, 1993. -- Committed to the Committee of the Whole House on the State of the Union and Ordered to be Printed
Author: United States. Congress. House. Committee on Energy and CommercePublisher:
ISBN:
Category :
Languages : en
Pages : 66
Book Description
The Regulation of Money Managers
Author: Tamar FrankelPublisher: Piatkus Books
ISBN: 9780316292702
Category : Investment advisors
Languages : en
Pages : 487
Book Description
Investment Company Regulation, 1993
Author: Publisher:
ISBN:
Category : Directors of corporations
Languages : en
Pages : 310
Book Description
Regulation of Investment Advisers
Author: Thomas P. LemkePublisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 918
Book Description
Investment Advisers Act of 1940 and General Rules and Regulations Thereunder
Author: United StatesPublisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 200
Book Description
Investment Adviser Regulatory Enhancement and Disclosure Act of 1993
Author: Commerce Clearing HousePublisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 66
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: Investment Adviser Regulation in a Nutshell
Author: Jeffrey J. HaasPublisher: West Academic Publishing
ISBN: 9780314172655
Category : Brokers
Languages : en
Pages : 0
Book Description
Softbound - New, softbound print book.