Publisher's Synopsis
<i><b>Investment Adviser's Legal and Compliance Guide</b></i> 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 <i>Investment Advisers Act of 1940</i>, as well as new staff interpretations and guidance. <i><b> Investment Adviser's Legal and Compliance Guide</b></i> also provides an in depth tutorial for attorneys and compliance officers who are new to this field. <p class="copymedium"> <i><b>Investment Adviser's Legal and Compliance Guide</b></i> covers in detail such topics as: </p> <ul> <li class="copymedium"> Filings and amendments that an adviser must make to maintain its SEC registration </li> <li class="copymedium"> Major rules and requirements dealing with marketing and attracting new clients </li> <li class="copymedium"> The SEC's inspection process </li> <li> New clients, and the management of client accounts. </li> </ul> <p> 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 <i>Investment Advisers Act</i>. </p> <p> In addition, <b>Investment Adviser's Legal and Compliance Guide</b> provides registered investment advisers and their legal counsel with a comprehensive review of their compliance responsibilities that arise under the Investment Advisers Act. </p> <p> </p>
