Investment Adviser's Legal and Compliance Guide is an invaluable
guide written to assist attorneys and advisers in both drafting their policies
and procedures and reviewing them annually. In addition, the book serves as a
practical tool for experienced attorneys and compliance officers for their
changing responsibilities under new rules adopted under the
Investment
Advisers Act of 1940, as well as new staff interpretations and guidance.
Investment Adviser's Legal and Compliance Guide also provides an in
depth tutorial for attorneys and compliance officers who are new to this field.
Investment Adviser's Legal and Compliance Guide covers in detail
such topics as:
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Filings and amendments that an adviser must make to maintain its SEC
registration
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Major rules and requirements dealing with marketing and attracting new clients
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The SEC's inspection process
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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.
Automatic Supplementation
