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ProView Plus Print Regulation of Investment Advisers (Securities Law Handbook Series)

Product details:

Format: Book and Electronic
Brand: Clark Boardman Callaghan
Copyright: 2021
Service #: 30921465
Sub #: 30925229
Publication Frequency: Updated as changes in the law dictate
Update format: N/A

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ProView Plus Print Regulation of Investment Advisers (Securities Law Handbook Series)

106692205

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In stock
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106692205
106692205
Book and Electronic
Special pricing applies

Providing accurate guidance, Regulation of Investment Advisers enables you to stay up-to-date on the registration, regulation, and compliance requirements imposed on advisers by the Investment Advisers Act of 1940. Written by practitioners for practitioners, you will find clear, concise treatment of the most frequently encountered problems. This handbook addresses pertinent issues, including: Performance advertising Trade allocations Mergers and acquisitions of investment advisers Extensive recent changes and Dodd-Frank amendments to the Investment Advisers Act Conflicts of interest SEC inspections and enforcement Form ADV and its requirements