| Fundamentals of Investment Adviser Regulation 2012 TOC |
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| Chapter 1: Introduction to the Investment Advisers Act of 1940 |
Clifford E. Kirsch ~ Sutherland
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| Chapter 2: Registration Under the Advisers Act: A Legal and Compliance Forum for New SEC Advisers 2011 |
Kenneth J. Berman ~ Debevoise & Plimpton LLP
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| Chapter 3: The Adviser Registration Process and the Adviser Disclosure Regime |
Clifford E. Kirsch ~ Sutherland
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| Chapter 4: Form ADV-Instructions, Part 1A, 2A and 2B |
Clifford E. Kirsch ~ Sutherland
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| Chapter 5: Standards of Conduct; Marketing and Advertising; Trading Activity |
Kay A. Gordon ~ K&L Gates LLP
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| Chapter 6: Broker-Dealer Advisory Services |
Clifford E. Kirsch ~ Sutherland
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| Chapter 7: Financial Planning |
Clifford E. Kirsch ~ Sutherland
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| Chapter 8: Broker-Dealer and Investment Adviser--Standard of Care |
Clifford E. Kirsch ~ Sutherland
Bruce W. Maisel ~ Vice President & Chief Compliance Officer U.S. Private Client Group, BMO Harris Bank
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| Chapter 9: Wrap Fee Programs |
Clifford E. Kirsch ~ Sutherland
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| Chapter 10: Investment Advisers to Private Funds: A Short Outline of Key Concepts |
Peter M. Rosenblum ~ Foley Hoag LLP
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| Chapter 11: Private Fund Investment Advisers Registration Act of 2010 |
Peter M. Rosenblum ~ Foley Hoag LLP
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| Chapter 12: Selected Regulations Under the Investment Advisers Act of 1940 |
Peter M. Rosenblum ~ Foley Hoag LLP
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| Chapter 13: SEC Interpretive Guidance Concerning Registration of Related Persons Under the Investment Advisers Act of 1940 |
Peter M. Rosenblum ~ Foley Hoag LLP
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| Chapter 14: Fundamentals of Investment Adviser Regulation 2012: Compliance and Exams: Ethics for Adviser Lawyers |
John H. Walsh ~ Sutherland Asbill & Brennan LLP
Steven A. Yadegari ~ Executive Vice President and General Counsel, Cramer Rosenthal McGlynn, LLC
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| Chapter 15: Adviser Compliance Programs |
Clifford E. Kirsch ~ Sutherland
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| Chapter 16: Legal/Compliance Officer Liability |
Clifford E. Kirsch ~ Sutherland
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| Chapter 17: Standards of Conduct; Marketing and Advertising; Trading Activity (PowerPoint Slides) |
Kay A. Gordon ~ K&L Gates LLP
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| Chapter 18: Index to Fundamentals of Investment Adviser Regulation 2012 |
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