Investment Adviser Regulation

Author: Clifford E. Kirsch
Publisher: Practising Law Inst
ISBN:
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a step-by-step guide to compliance and the law Clifford E. Kirsch, Practising Law
Institute ... of an inspection, the SEC will often seek access to self-audits and
other types of reviews of its business that the adviser has conducted. ... are
protected by the attorney-client privilege are likely to lose that protection when
disclosed to the SEC.8 There is no set way to deal with ... was made is an
attorney or his subordinate, acting in his capacity as an attorney with respect to
the communication; 3.

Securities Regulation Law Report

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Investment Advisers ICAA Issues Guidance for Advisers In Their Adoption of a
Code of Ethics The Investment Counsel ... of America July 20 issued guidance for
investment advisers in their adoption of a code of ethics, a step recently required
by the ... must: (1) set forth standards of conduct expected of advisory personnel,
including compliance with the federal securities laws; (2) require advisory
personnel to obtain pre-approval of certain investments; and (3) require "access
persons" ...

Aall Directory And Handbook

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Supplemented annually, ISBN: 01 3 1 092650 "RED BOX": Rules and
Regulations of the Securities Exchange ... investment advisers and companies,
The Regulation of Money Managers provides unsurpassed guidance for legal
counsel in the field. ... regulation. The guidance is highly fact-based and
presented in context, step-by-step. This practical, unique reference ... and
Practice Steven Mark Levy Regulation of Securities: SEC Compliance and
Practice is a comprehensive guide to ...