Investment Adviser Registration Package

Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 69 pages
Book Rating : 4.59/5 ( download)

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Download or read book Investment Adviser Registration Package written by United States. Securities and Exchange Commission and published by . This book was released on 1994 with total page 69 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Terrance J. O'Malley
Publisher : Wolters Kluwer
ISBN 13 : 1454838493
Total Pages : 1060 pages
Book Rating : 4.94/5 ( download)

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Download or read book Investment Adviser's Legal and Compliance Guide written by Terrance J. O'Malley and published by Wolters Kluwer. This book was released on 2013-01-01 with total page 1060 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 84 pages
Book Rating : 4.86/5 ( download)

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Download or read book Investment Adviser Registration Package written by United States. Securities and Exchange Commission and published by . This book was released on 1994 with total page 84 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author :
Publisher :
ISBN 13 :
Total Pages : 160 pages
Book Rating : 4.84/5 ( download)

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Download or read book Annual Registration Updating Material for Investment Advisers written by and published by . This book was released on 2000 with total page 160 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Elisse B. Walter
Publisher : DIANE Publishing
ISBN 13 : 143798102X
Total Pages : 46 pages
Book Rating : 4.25/5 ( download)

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Download or read book Study and Recommendations on Improved Investor Access to Registration Information about Investment Advisers and Broker-Dealers written by Elisse B. Walter and published by DIANE Publishing. This book was released on 2011-04 with total page 46 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Dodd-Frank Wall Street Reform and Consumer Protection Act required this study of ways to improve the access of investors to registration information about registered and previously registered investment advisers, associated persons of investment advisers, brokers and dealers and their associated persons, and to identify additional information that should be made publicly available. The Act specifies that the study include an analysis of the advantages and disadvantages of further centralizing access to registration information, and identify data pertinent to investors and the method and format for displaying and publishing the data to enhance the information's accessibility and utility to investors. This is a print on demand report.

Author : Clifford E. Kirsch
Publisher :
ISBN 13 : 9781402407710
Total Pages : 0 pages
Book Rating : 4.18/5 ( download)

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Download or read book Investment Adviser Regulation written by Clifford E. Kirsch and published by . This book was released on 2006 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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 :
Publisher :
ISBN 13 :
Total Pages : 158 pages
Book Rating : 4.16/5 ( download)

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Download or read book Annual Registration Updating Material for Investment Advisers written by and published by . This book was released on 2000 with total page 158 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Thomas P. Lemke
Publisher :
ISBN 13 :
Total Pages : 918 pages
Book Rating : 4.87/5 ( download)

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Download or read book Regulation of Investment Advisers written by Thomas P. Lemke and published by . This book was released on 1996 with total page 918 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : United States. General Accounting Office
Publisher :
ISBN 13 :
Total Pages : 60 pages
Book Rating : 4.15/5 ( download)

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Download or read book Investment Advisers written by United States. General Accounting Office and published by . This book was released on 1990 with total page 60 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author :
Publisher : DIANE Publishing
ISBN 13 : 1437980996
Total Pages : 40 pages
Book Rating : 4.98/5 ( download)

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Download or read book Study on Enhancing Investment Adviser Examinations written by and published by DIANE Publishing. This book was released on with total page 40 pages. Available in PDF, EPUB and Kindle. Book excerpt: