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Regulation of Investment Management and Fiduciary Services clarifies the law governing liability and compliance aspects of the investment and fiduciary business. It provides comprehensive coverage and expert analysis of securities, banking and employee benefits laws, state and federal regulations, compliance requirements, and the avoidance of fiduciary liability. It also covers:
Numerous appendices cover and contain statutes, regulations, ERISA, Uniform Acts, sample forms, fiduciary reports, banking services, Department of Labor investigation, state laws involving non-resident fiduciaries, compliance policies, and tables of cases and statutes.