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, 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.
This authoritative resource surveys federal securities laws and rules applicable to the organization, capitalization and operations of private U.S. domestic investment partnerships that invest and trade mainly in the public securities markets. Includes a detailed index.
The investment management industry has seen explosive growth worldwide. As securities markets around the globe continue their development, many investment advisers seek access to an international client base and crossborder investments. These trends, plus the significant impact of the Internet as a business medium, make the regulation of investment advisers increasingly complex and important. Recently, many countries have either implemented or substantially revised their investment adviser regulations, posing new challenges for advisers with an international business focus. In this environment, knowledge of regulatory schemes around the world is essential. Now in its second edition, International Survey of Investment Adviser Regulation is an unparalleled current guide to the regulatory systems in 29 jurisdictions. Each chapter represents the contribution of preeminent practitioners. A clear, uniform presentation permits easy comparisons among the different regulatory systems. International Survey of Investment Adviser Regulation allows investment advisers, regulators, lawyers and others in the investment management industry to evaluate the time, cost and legal considerations that will bear on strategic decisions to provide investment advisory services in specific countries. It also provides a guide for those engaged in the study of comparative regulatory systems as well as for policymakers who seek to improve and harmonize the regulation of investment advisers worldwide.
