Investment Adviser's Legal and Compliance Guide
Investment Adviser's Legal and Compliance Guide

Author: Terrance J. O'Malley

Publisher: Wolters Kluwer

Published: 2013-01-01

Total Pages: 1060

ISBN-13: 1454838493

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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.

Investment Adviser Regulation
Investment Adviser Regulation

Author: Clifford E. Kirsch

Publisher:

Published: 2006

Total Pages: 0

ISBN-13: 9781402407710

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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.

Pocket CIO – The Guide to Successful IT Asset Management
Pocket CIO – The Guide to Successful IT Asset Management

Author: Phara McLachlan

Publisher: Packt Publishing Ltd

Published: 2018-03-30

Total Pages: 245

ISBN-13: 1783001011

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Create and manage a clear working IT asset management strategy with this unique guide Key Features A detailed IT Asset Management (ITAM) guidebook with real-world templates that can be converted into working ITAM documents Includes in-depth discussion on how risk management has changed and the possible solutions needed to address the new normal A step-by-step ITAM manual for newbies as well as seasoned ITAM veterans Book DescriptionThis book is a detailed IT Asset Management (ITAM) guidebook with real-world templates that can be converted into working ITAM documents. It is a step-by-step IT Asset Management manual for the newbies as well as the seasoned ITAM veterans, providing a unique insight into asset management. It discusses how risk management has changed over time and the possible solutions needed to address the new normal. This book is your perfect guide to create holistic IT Asset Management and Software Asset Management programs that close the risk gaps, increases productivity and results in cost efficiencies. It allows the IT Asset Managers, Software Asset Managers, and/or the full ITAM program team to take a deep dive by using the templates offered in the guidebook. You will be aware of the specific roles and responsibilities for every aspect of IT Asset Management, Software Asset Management, and Software License Compliance Audit Response. By the end of this book, you will be well aware of what IT and Software Asset Management is all about and the different steps, processes, and roles required to truly master it.What you will learn Close the hidden risk gaps created by IT assets (hardware and software) Create and manage a proactive ITAM and SAM program and policy A clear, concise explanation of what IT Asset Management and Software Asset Management is, the benefits, and results The best ways to manage a software audit and how to be prepared for one Considerations for selecting the best technology for a specific company including what questions should be asked at the onset Increasing ITAM program and project success with change management Who this book is for This book is intended for CIOs, VPs and CTOs of mid to large-sized enterprises and organizations. If you are dealing with changes such as mergers, acquisitions, divestitures, new products or services, cyber security, mandated regulations, expansion, and much more, this book will help you too.

Anti-Money Laundering Regulation and Compliance
Anti-Money Laundering Regulation and Compliance

Author: Alexander Dill

Publisher: Edward Elgar Publishing

Published: 2021-06-25

Total Pages: 288

ISBN-13: 1788974840

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Anti-Money Laundering Regulation and Compliance: Key Problems and Practice Areas is a comprehensive treatment of the Anti-Money Laundering/Combatting the Financing of Terrorism (AML/CFT) compliance programs, recordkeeping and reporting requirements, and the best practices under the Bank Secrecy Act (BSA) and sanctions regulatory regimes. AML/CFT and sanctions provisions are highly interrelated. Onboarding and customer due diligence requirements generate the data entered into transaction monitoring and screening systems.

The Hedge Fund Compliance and Risk Management Guide
The Hedge Fund Compliance and Risk Management Guide

Author: Armelle Guizot

Publisher: John Wiley & Sons

Published: 2006-10-25

Total Pages: 466

ISBN-13: 0470086041

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The Hedge Fund Compliance and Risk Management Guide provides you with a broad examination of the most important compliance and risk management issues associated with today’s hedge funds. Straightforward and accessible, this invaluable resource covers everything from how hedge funds continue to generate lucrative returns to why some use sophisticated instruments and financial engineering to get around fundamental regulatory laws.

Standards for Internal Control in the Federal Government
Standards for Internal Control in the Federal Government

Author: United States Government Accountability Office

Publisher: Lulu.com

Published: 2019-03-24

Total Pages: 88

ISBN-13: 0359541828

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Policymakers and program managers are continually seeking ways to improve accountability in achieving an entity's mission. A key factor in improving accountability in achieving an entity's mission is to implement an effective internal control system. An effective internal control system helps an entity adapt to shifting environments, evolving demands, changing risks, and new priorities. As programs change and entities strive to improve operational processes and implement new technology, management continually evaluates its internal control system so that it is effective and updated when necessary. Section 3512 (c) and (d) of Title 31 of the United States Code (commonly known as the Federal Managers' Financial Integrity Act (FMFIA)) requires the Comptroller General to issue standards for internal control in the federal government.

Governance, Risk, and Compliance Handbook
Governance, Risk, and Compliance Handbook

Author: Anthony Tarantino

Publisher: John Wiley & Sons

Published: 2008-03-11

Total Pages: 1123

ISBN-13: 0470245557

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Providing a comprehensive framework for a sustainable governance model, and how to leverage it in competing global markets, Governance, Risk, and Compliance Handbook presents a readable overview to the political, regulatory, technical, process, and people considerations in complying with an ever more demanding regulatory environment and achievement of good corporate governance. Offering an international overview, this book features contributions from sixty-four industry experts from fifteen countries.