| Fundamentals of Investment Adviser Regulation 2013 Table of Contents |
|
|
| Chapter 1: Registration Under the Investment Advisers Act of 1940 (May 13, 2013) |
Kenneth J. Berman ~ Debevoise & Plimpton LLP
|
|
| Chapter 2: Introduction to the Investment Advisers Act |
Clifford E. Kirsch ~ Sutherland Asbill & Brennan LLP
|
|
| Chapter 3: State Registration of Investment Advisers |
G. Philip Rutledge ~ Bybel Rutledge LLP
|
|
| Chapter 4: Form ADV: Uniform Application for Investment Adviser Registration and Report Form by Exempt Reporting Advisers |
Clifford E. Kirsch ~ Sutherland
|
|
| Chapter 5: Regulation of Advisers (Part I): Attracting Clients and Establishing the Adviser-Client Relationship (July 17, 2013) |
John L. Bronson ~ Prudential Financial
Kay A. Gordon ~ K&L Gates LLP
|
|
| Chapter 6: Regulation of Advisers (Part II): Brokerage and Trading Practices (May 23, 2013) |
Steven W. Stone ~ Morgan, Lewis & Bockius LLP
|
|
| Chapter 7: Adviser Compliance Policies and Procedures |
Clifford E. Kirsch ~ Sutherland
|
|
| Chapter 8: The Broker-Dealer and Adviser Uniform Standard of Care (July 17, 2013) |
Clifford E. Kirsch ~ Sutherland
Issa J. Hanna ~ Sutherland
|
|
| Chapter 9: Legal/Compliance Officer Liability for Duty to Supervise |
Clifford E. Kirsch ~ Sutherland
|
|
| Chapter 10: Compliance and Exams for Investment Adviser Lawyers (July 17, 2013) |
Michael B. Koffler ~ Sutherland
Steven A. Yadegari ~ Cramer Rosenthal McGlynn, LLC
|
|
| Chapter 11: Investment Advisers to Private Funds: A Short Outline of Key Concepts (May 20, 2013) |
Peter M. Rosenblum ~ Foley Hoag LLP
|
|
| Chapter 12: Private Fund Investment Advisers Registration Act of 2010 (July 21, 2010) |
Peter M. Rosenblum ~ Foley Hoag LLP
|
|
| Chapter 13: Selected Regulations Under the Investment Advisers Act of 1940 |
Peter M. Rosenblum ~ Foley Hoag LLP
|
|
| Chapter 14: SEC Interpretive Guidance Concerning Registration of Related Persons Under the Investment Adviser Act of 1940 (January 18, 2012) |
Peter M. Rosenblum ~ Foley Hoag LLP
|
|
| Chapter 15: Regulation of Advisers (Part 1): Attracting Clients and Establishing the Adviser-Client Relationship (July 17, 2013) (Powerpoint Slides) |
John L. Bronson ~ Prudential Financial
Kay A. Gordon ~ K&L Gates LLP
|
|
| Index to Fundamentals of Investment Adviser Regulation 2013 |
|
|