Author: Gerald T LinsPublisher:
ISBN: 9780614073065
Category :
Languages : en
Pages :
Book Description
Regulation of Investment Advisers, 1995
Author: Gerald T LinsPublisher:
ISBN: 9780614073065
Category :
Languages : en
Pages :
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.
The Investment Company Act of 1940 and the Investment Advisers Act of 1940, Other Investment Management Regulations
Author: Regulation of Investment Advisers
Author: Thomas P. LemkePublisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 874
Book Description
Regulation of Investment Advisers
Author: Thomas P. LemkePublisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 956
Book Description
Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
Author: Angela A. HungPublisher: Rand Corporation
ISBN: 0833045016
Category : Law
Languages : en
Pages : 151
Book Description
In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investment adviser provides advice to others regarding securities. Different laws regulate each type of professional, but boundaries have blurred. This report examines current business practices and investor understanding of each type.
Investment Advisers Act of 1940 and General Rules and Regulations Thereunder
Author: United StatesPublisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 200
Book Description
1995 Investment Advisers Conference
Author: Investment Company Institute (U.S.)Publisher:
ISBN:
Category : Investment advisors
Languages : en
Pages :
Book Description
Investment Adviser Regulation
Author: Regulation of Investment Advisers, 1993
Author: Thomas P. LemkePublisher: Clark Boardman Callaghan
ISBN: 9780876329658
Category : Investment advisors
Languages : en
Pages :
Book Description