Course Handbook  Course Handbook

Fundamentals of Investment Adviser Regulation 2017

Publication Date: June 2017 Number of Volumes: 1
ISBN Number: 9781402429354 Page Count: 624 pages

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Table of Contents
Chapter 1: Registration Under the Investment Advisers Act of 1940: Who Is an Investment Adviser? (April 28, 2017) Kenneth J Berman ~ Debevoise & Plimpton LLP
Gregory T Larkin ~ Debevoise & Plimpton LLP
Julie Baine Stem ~ Debevoise & Plimpton LLP
Chapter 2: Introduction to the Investment Advisers Act Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 3: State Registration of Investment Advisers G. Philip Rutledge ~ Bybel Rutledge LLP
Chapter 4: An Investment Adviser’s Fiduciary Duty (September 26, 2016) Lorna A Schnase ~ Attorney at Law
Chapter 5: A Few Thoughts on the SEC’s Robare Decision (December 8, 2016) Chris Stanley ~ General Counsel, Loring Ward
Chapter 6: Financial Planning & Regulatory Assets Under Management (August 2, 2016) Chris Stanley ~ General Counsel, Loring Ward
Chapter 7: Advisor Reliance on Compliance Consultants Hangs in the Balance (October 29, 2015) Chris Stanley ~ General Counsel, Loring Ward
Chapter 8: SEC to RIAs: Beware the Ides of ‘May’ (April 9, 2015) Chris Stanley ~ General Counsel, Loring Ward
Chapter 9: When and Why to Make Form ADV Updates (April 25, 2014) Chris Stanley ~ General Counsel, Loring Ward
Chapter 10: Advisor Conflicts of Interest: Finding and Mitigating Them (December 24, 2013) Chris Stanley ~ General Counsel, Loring Ward
Chapter 11: U.S. Securities and Exchange Commission—Final Rule: Form ADV and Investment Advisers Act Rules, 17 CFR Parts 275 and 279 Chris Stanley ~ General Counsel, Loring Ward
Chapter 12: Form ADV (Paper Version): Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers, Revisions to Form ADV related to adopted rule release IA-4509 Chris Stanley ~ General Counsel, Loring Ward
Chapter 13: Investment Advisers and New Client Relationships (April 27, 2017) Heather L Traeger ~ CCO & Compliance Counsel, Teacher Retirement System of Texas
Chapter 14: Order Instituting Administrative Cease-and-Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order, In the Matter of Robert W. Baird & Co. Incorporated (September 8, 2016) Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 15: Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, In the Matter of Riverfront Investment Group, LLC (July 14, 2016) Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 16: Investment Advisers to Private Funds: A Short Outline of Key Concepts (April 27, 2017) Peter M Rosenblum ~ Foley Hoag LLP
Chapter 17: Registration by Investment Advisers to Private Funds and Multiple Entities: SPVs and Relying Advisers (April 27, 2017) Peter M Rosenblum ~ Foley Hoag LLP
Chapter 18: U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program: Examination Priorities for 2017 Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 19: U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program: Risk Alert—Volume VI, Issue 3: The Five Most Frequent Compliance Topics Identified in OCIE Examinations of Investment Advisers (February 7, 2017) Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Index

This Course Handbook was compiled for the program, Fundamentals of Investment Adviser Regulation 2017.

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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