Investment Adviser's Legal and Compliance Guide, Third Edition is an invaluable guide written to assist attorneys and investment advisers in both drafting their compliance policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for experienced attorneys and compliance officers for fulfilling their changing responsibilities under new rules adopted under the Investment Advisers Act of 1940, as well as new staff interpretations and guidance.
For the Third Edition, authors Terrance J. O’Malley and John H. Walsh are joined by William M. Watts. Each author is a seasoned practitioners and an acknowledged expert in the area of investment adviser compliance matters, The authors’ years of experience, including at the SEC, are reflected in the enhanced practical discussion of relevant legal and compliance issues, including increased numbers of compliance tips, enforcement and regulatory alerts, and compliance tools.
Investment Adviser's Legal and Compliance Guide, Third Edition covers in detail such topics as:
- Filings and amendments that an adviser must make to maintain its SEC registration
- Major rules and requirements dealing with marketing and attracting new clients
- Issues arising in connection with the management of private funds
- The SEC's examination process
- New clients, and the management of client accounts.
The book also covers requirements relating to the adviser's obligation to its customers, including preventing insider trading and other trading abuses, as well as an adviser's recordkeeping, which is a major factor in meeting the requirements of the Investment Advisers Act.
In addition, Investment Adviser's Legal and Compliance Guide, Third Edition provides registered investment advisers and their legal counsel with a comprehensive review of their compliance responsibilities that arise under the Investment Advisers Act.
