This book reproduces in a convenient, slim volume the text of the Investment Advisers Act of 1940, as amended through June 12, 2019, as maintained by the Office of Legislative Counsel of the United States Congress. This is an unofficial publication and is neither authorized nor endorsed by the United States Congress or any governmental body.
In one convenient volume, this book provides reproductions of the text of the Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, and Investment Advisers Act of 1940. It reflects the current versions of these laws through June 12, 2019, as updated by the Office of the Legislative Counsel of the United States Congress. This is an unofficial publication and is neither authorized nor endorsed by the United States Congress or any governmental body.
This edition reproduces the text of the Securities Exchange Act of 1934 in a single, convenient volume that can easily fit on your shelf or in your briefcase. This edition is current through June 12, 2019, as maintained by the Office of Legislative Counsel of the United States Congress. This is an unofficial publication and is neither authorized nor endorsed by the United States Congress or any governmental body.
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.
