Modern Compliance
Author: John H. Walsh
Publisher:
Published: 2017-10-15
Total Pages:
ISBN-13: 9780808048220
DOWNLOAD EBOOKRead and Download eBook Full
Author: John H. Walsh
Publisher:
Published: 2017-10-15
Total Pages:
ISBN-13: 9780808048220
DOWNLOAD EBOOKAuthor: Clifford E. Kirsch
Publisher:
Published: 2006
Total Pages: 0
ISBN-13: 9781402407710
DOWNLOAD EBOOKInvestment 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: Terrance J. O'Malley
Publisher: Wolters Kluwer
Published: 2013-01-01
Total Pages: 1060
ISBN-13: 1454838493
DOWNLOAD EBOOKInvestment 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: John H. Walsh
Publisher:
Published: 2015-10-01
Total Pages:
ISBN-13: 9780808043010
DOWNLOAD EBOOKIn 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.
Author:
Publisher: Aspatore Books
Published: 2010
Total Pages: 0
ISBN-13: 9780314926722
DOWNLOAD EBOOKAuthor: Susan D. Resley
Publisher:
Published: 2009
Total Pages: 0
ISBN-13: 9780314206084
DOWNLOAD EBOOKSEC 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.
Author:
Publisher:
Published: 2013-06-01
Total Pages: 172
ISBN-13: 9780314289483
DOWNLOAD EBOOKSEC Compliance Best Practices provides an authoritative, insiders perspective on assisting clients in dealing with the Securities and Exchange Commission.
Author: American Bar Association. House of Delegates
Publisher: American Bar Association
Published: 2007
Total Pages: 216
ISBN-13: 9781590318737
DOWNLOAD EBOOKThe Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Author:
Publisher:
Published: 2014-09-01
Total Pages: 100
ISBN-13: 9780314292810
DOWNLOAD EBOOKSEC Compliance Best Practices provides an authoritative, insiders perspective on assisting clients in dealing with the Securities and Exchange Commission.
Author: Martin T. Biegelman
Publisher: John Wiley & Sons
Published: 2008-06-20
Total Pages: 320
ISBN-13: 0470278404
DOWNLOAD EBOOKWritten by a long-standing practitioner in the field, this timely and critical work is your best source for understanding all the complex issues and requirements associated with corporate compliance. It provides clear guidance for those charged with protecting their companies from financial and reputational risk, litigation, and government intervention, who want a robust guide to establish an effective compliance program.