Course Handbook  Course Handbook

Fundamentals of Investment Adviser Regulation 2018

Publication Date: June 2018 Number of Volumes: 1
ISBN Number: 9781402431968 Page Count: 310 pages

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Table of Contents
Chapter 1: Kenneth J. Berman, Gregory T. Larkin and Julie Baine Stem, Norma Angelica Freeland, Registration under The Investment Advisers Act of 1940: Who Is an Investment Adviser? (June 25, 2018) Kenneth J. Berman ~ Debevoise & Plimpton LLP
Chapter 2: State Registration of Investment Advisers G. Philip Rutledge ~ Bybel Rutledge LLP
Chapter 3: Form ADV (Paper Version): Uniform Application for Investment Adviser Registration—Part 2: Uniform Requirements for the Investment Adviser Brochure and Brochure Supplements Clifford E. Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 4: Investment Advisers and New Client Relationships (April 27, 2018) Heather L. Traeger ~ CCO & Compliance Counsel, Teacher Retirement System of Texas
Chapter 5: U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program: Risk Alert—Volume VII, Issue 2, Overview of the Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers (April 12, 2018) Clifford E. Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 6: Registration by Investment Advisers to Private Funds and Multiple Entities: SPVs and Relying Advisers (April 30, 2018) Peter M. Rosenblum ~ Foley Hoag LLP
Chapter 7: Investment Advisers to Private Funds: A Short Outline of Key Concepts (April 30, 2018) Peter M. Rosenblum ~ Foley Hoag LLP
Chapter 8: U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, 2018 National Exam Program: Examination Priorities Clifford E. Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 9: U.S. Securities and Exchange Commission, Staff Letter: Engaging on Fund Innovation and Cryptocurrency-related Holdings (January 18, 2018) Clifford E. Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 10: North American Securities Administrators Association: Rise of Fintech Raises New Concerns for Securities Regulators—Survey Shows Millennials at Greatest Risk for Fintech Fraud; Need for Increased Vigilance by Regulators, Industry and Investors (February 15, 2018) Clifford E. Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 11: North American Securities Administrators Association–2018: Investment Adviser Section Annual Report—Based on 2017 Data and Activities Joseph Brady ~ Executive Director, North American Securities Administrators Association (NASAA)
Index

This Course Handbook was compiled for the program, Fundamentals of Investment Adviser Regulation 2018.

PLI’s nationally acclaimed course handbooks represent the definitive thinking of the nation’s finest legal minds on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Chairperson(s)
Clifford E. Kirsch, Eversheds Sutherland (US) LLP
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Fundamentals of Investment Adviser Regulation 2019 (New York, NY) Jun. 24, 2019

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Fundamentals of Investment Adviser Regulation 2018 Clifford E. Kirsch, Eversheds Sutherland (US) LLP
 
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