Investment Adviser's Legal and Compliance Guide encompasses the most current discussion of legal and compliance topics for investment advisers, including fundamental issues arising under the Investment Advisers Act, and incorporates the latest SEC guidance provided in rule releases, policy statements, no-action letters, and SEC staff speeches. The book contains eight chapters, which are presented in an order that follows the business cycle of a registered investment adviser. Investment Adviser's Legal and Compliance Guide covers in detail such topics as:
The Form ADV registration statement
Filings and amendments that an adviser must make to maintain its SEC registration
Major rules and requirements dealing with marketing and attracting new clients
The SEC's inspection process
New clients, and the management of client accounts.
The book also covers requirements relating to the adviser's obligation to its customer, including preventing insider trading and other trading abuses, as well as an adviser's recordkeeping, which is a major factor in meeting the requirement of the Investment Advisers Act. In addition, Investment Adviser's Legal and Compliance Guide provides registered investment advisers and their legal counsel with a comprehensive review of their compliance responsibilities that arise under the Investment Advisers Act. Each chapter ends with a topical checklist review.
Wolters Kluwer Legal & Regulatory U.S.
Table of Contents
1. Maintaining SEC Registration and Related Filings
2. Marketing Advisory Services
3. Establishing and Maintaining the Client Relationship
4. Managing Client Accounts
5. Compliance Oversight
6. Specialty Products
7. Recordkeeping Requirements
8. SEC Compliance Inspections Appendices Index
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