Investment Adviser Regulation: A Step-by-Step
Guide to Compliance and the Law
This three-volume treatise provides practical guidance through the many statutory, SEC, and state standards impacting investment advisers. Investment Adviser Regulation presents current analysis and clarifies key status issues that determine registration and disclosure duties, as well as liability exposure. It is designed as an essential resource for investment advisers, securities attorneys, compliance personnel, and federal and state regulators, and a useful reference for today's investors.
This four-volume resource for practitioners provides a complete and practical understanding of the many requirements of this highly regulated area and is an invaluable resource for broker-dealers, securities attorneys, compliance officers, and regulators. The book presents detailed coverage of registration reporting and record-keeping rules, suitability and best execution standards, and the implementation of a tailor-made compliance program to detect and prevent illegal conduct within the firm.
Mutual Funds and Exchange Traded Funds Regulation
With contributions from more than 70 leading professionals in the field, this two-volume guide offers definitive and up-to-date advice and analysis, with detailed coverage of the legal, regulatory, and procedural framework affecting mutual funds and exchange traded funds. It is an essential compliance tool for securities attorneys, mutual fund practitioners, compliance personnel, and risk officers in fund complexes, and a valuable reference for business professionals and investors.
Financial Product Fundamentals:
Law, Business, Compliance
This two-volume guide is a comprehensive reference on the regulations, benefits, advantages, pricing, distribution, marketing, and current and future viability of registered offerings. Essential for attorneys, compliance personnel, and business professionals, it includes expert analysis of private placements, mutual funds, hedge funds, money market funds, exchange traded funds, real estate investment trusts, international investment funds, variable insurance products, and other instruments.
Variable Annuities and Other
Insurance Investment Products
Originally titled “Variable Annuities and Variable Life Insurance Regulation,” this new renamed and expanded edition remains today’s most comprehensive and accessible guide to the many federal and state rules governing these instruments. It offers extensive coverage of variable insurance products, including its complex regulatory framework of federal securities laws, state insurance laws, ERISA, and tax, and tracks and analyzes newer insurance investment products, such as SEC-registered fixed annuities.
Meet Clifford E. Kirsch
Clifford E. Kirsch (Partner, Eversheds Sutherland (US) LLP) is a seasoned securities lawyer with more than 25 years of regulatory, corporate counsel, and private practice experience. He regularly counsels clients on the comprehensive regulations governing advisers and broker-dealers, bank fiduciaries, pooled investment vehicles, and the retirement marketplace.
- Head of the Eversheds Sutherland Investment Services Team
- Former Assistant Director, SEC Division of Investment Management
- Former Chair, FINRA Variable Products Committee
- Recipient of the SEC’s Manual F. Cohen award for outstanding legal ability
- Recognized by The Legal 500 United States in the area of financial services: regulatory (2015–2019)
Cliff is a sought-after speaker and one of the industry’s thought leaders on current regulatory issues. He advises many of the most prominent U.S. dual registrants on the sale and distribution of investment products, compliance and supervisory procedures, and sales practice issues, and routinely guides clients through SEC, FINRA, and state securities departments in connection with regulatory and examination matters.