Author: John H. WalshPublisher:
ISBN: 9780808048220
Category :
Languages : en
Pages :
Book Description
Modern Compliance
Author: John H. WalshPublisher:
ISBN: 9780808048220
Category :
Languages : en
Pages :
Book Description
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.
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.
Modern Compliance
Author: John H. WalshPublisher:
ISBN: 9780808043010
Category :
Languages : en
Pages :
Book Description
In a world of ever-increasing complexity, Modern Compliance is the new industry standard for thehard facts and soft skills of compliance best practices. It is written to help understand the internalcontrol structures and ethical considerations necessary to navigate one of the most challengingroles in American business today: Chief Compliance Officer at a financial services firm. It bringstogether the scholarship of 30 of the best known professionals in the Compliance arena, each ofwhom is a well-recognized leader in his or her area of practice.
SEC Compliance Best Practices
Author: Publisher: Aspatore Books
ISBN: 9780314926722
Category : Corporations
Languages : en
Pages : 0
Book Description
SEC Compliance Best Practices
Author: Susan D. ResleyPublisher:
ISBN: 9780314206084
Category : Corporations
Languages : en
Pages : 0
Book Description
SEC Compliance Best Practices is an authoritative, insider's perspective on recent Securities and Exchange Commission changes to compliance and disclosure requirements. Featuring partners and chairs from some of the nation's leading law firms, these experts explore the current trends in compliance and disclosure, offer their insight on amendments to SEC regulations, and share their advice for assisting clients in adapting to these new regulations. Illustrating the legal framework for interpreting new compliance and disclosure issues, the authors walk the reader through a variety of new SEC initiatives and provisions that may impact their clients' business models and provide suggestions for assisting companies in their SEC reporting obligations. Additionally, these leaders reveal their tips for tracking and monitoring new rules and trends and helping clients implement effective internal auditing to avoid potential fraud. The different niches represented and the breadth of perspectives presented enable readers to get inside some of the great legal minds of today, as these experienced lawyers offer up their thoughts around the keys to success within this ever-changing area of law.
SEC Compliance Best Practices, 2012 Ed
Author: M Ridgway Barker, Jr.Publisher:
ISBN: 9780314282934
Category :
Languages : en
Pages : 0
Book Description
SEC Compliance Best Practices provides an authoritative, insiders perspective on ensuring clients understand and comply with SEC regulations. Featuring partners from law firms around the nation, these experts guide the reader through the process of building, maintaining, and updating effective compliance programs. From understanding disclosure guidelines and whistleblower bounties to evaluating proxy access policies, these top lawyers discuss the latest rules and proposals in SEC compliance and offer insights for avoiding investigations. Additionally, these leaders examine the current and future effects of the Foreign Corrupt Practices Act, and suggest proactive ways to respond. The different niches represented and the breadth of perspectives presented enable readers to get inside some of the great legal minds of today, as these experienced lawyers offer up their thoughts around the keys to navigating this ever-evolving area of law.
Sec Compliance Best Practices 2013
Author: Publisher:
ISBN: 9780314289483
Category : Law
Languages : en
Pages : 172
Book Description
SEC Compliance Best Practices provides an authoritative, insiders perspective on assisting clients in dealing with the Securities and Exchange Commission.
SEC Compliance Best Practices, 2011 Ed
Author: Amy Bowerman FreedPublisher:
ISBN: 9780314276322
Category : Law
Languages : en
Pages : 264
Book Description
SEC Compliance Best Practices is an authoritative, insider's perspective on key strategies for protecting clients from potential SEC investigations and suits. Featuring partners and chairs from some of the nations leading law firms, these experts guide the reader through recent developments in U.S. Securities legislation, including an in-depth look at the Dodd-Frank Act. From understanding the new legislation and current cases to developing and implementing a thorough compliance program, these authors provide a strategic look into some of the most pressing issues for securities practitioners today. These top lawyers discuss matters that will be vital for attorneys to understand, such as risk governance, disclosure obligations, and whistleblower protections. Additionally, these leaders reveal their strategies for helping clients create effective, up-to-date policies and enforcement guidelines that will minimize risk. The different niches represented and the breadth of perspectives presented enable readers to get inside some of the great legal minds of today, as these experienced lawyers offer up their thoughts around the keys to navigating this ever-evolving area of law.
Author: