Overview

Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law guides practitioners through the maze of statutory, SEC, and state standards impacting investment advisers, as well as provides advice on the practical aspects of building a practice. This book clarifies key status issues that determine registration and disclosure duties as well as liability exposure. It provides guidance and instruction on how to:

  • File and update Form ADV
  • Draft advisory contracts
  • Follow stringent advertising guidelines
  • Structure compliant soft-dollar arrangements
  • Meet best execution requirements and other practice standards
  • Satisfy record-keeping rules

The third edition of Investment Adviser Regulation describes Regulation S-AM, which tightens the privacy requirements on client financial information; various proposals on harmonizing broker-dealer and financial adviser regulation; proposals on increased fiduciary responsibilities; the need for the development of improved risk management systems as a result of recent market disruptions; and the Yates Memo, which sets forth the “six key steps to strengthen [DOJ’s] pursuit of individual corporate wrongdoing,” and its implication on recent FCPA prosecutions.

Updated at least once a year, Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law is an essential resource for investment advisers, securities attorneys, compliance personnel, and federal and state regulators, and a useful reference for today's investors.
Publication Date: December 2011
Last Updated: October 2019
ISBN: 978-1-4024-1690-3
Page Count: 4,322 pages
Number of Volumes: 3
Contents