Author: Publisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 408
Book Description
The Investment Company Act of 1940 and the Investment Advisers Act of 1940, Other Investment Management Regulations
Author: General Rules and Regulations Under the Investment Company Act of 1940
Author: United States. Securities and Exchange CommissionPublisher:
ISBN:
Category : Investments
Languages : en
Pages : 56
Book Description
Investment Company Act of 1940, as Amended August 10, 1954, Public No. 768, 76th Congress, H.R. 10065
Author: United StatesPublisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 48
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
General Rules and Regulations Under the Investment Act of 1940
Author: United States. Securities and Exchange CommissionPublisher:
ISBN:
Category : Investments
Languages : en
Pages : 94
Book Description
General Rules and Regulations Under the Investment Company Act of 1940, as in Effect November 1, 1968
Author: United States. Securities and Exchange CommissionPublisher:
ISBN:
Category : Investments
Languages : en
Pages : 76
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.
General Rules and Regulations Under the Investment Company Act of 1940 as in Effect May 10, 1972
Author: United States. Securities and Exchange CommissionPublisher:
ISBN:
Category : Mutual funds
Languages : en
Pages : 96
Book Description
Investment Company Act of 1940, as Amended
Author: United StatesPublisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 112
Book Description
Investment Company Act of 1940 and Relevant Rules
Author: United StatesPublisher:
ISBN:
Category : Investments
Languages : en
Pages : 412
Book Description