Investment Adviser's Legal and Compliance Guide

Author: Terrance J. O'Malley,John H. Walsh

Publisher: Aspen Publishers Online

ISBN: 1454838493

Category: Law

Page: 952

View: 7805

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Investment Adviser's Legal and Compliance Guide, Second Edition is an invaluable guide written to assist attorneys and investment advisers in both drafting their compliance policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for experienced attorneys and compliance officers for fulfilling their changing responsibilities under new rules adopted under the Investment Advisers Act of 1940, as well as new staff interpretations and guidance. For the Second Edition, the original author, Terrance J. Oand’Malley, is joined by John H. Walsh. While both authors are seasoned practitioners and acknowledged experts in the area of investment adviser compliance matters, Mr. Walshand’s years of experience, including at the SEC, are reflected in the enhanced practical discussion of relevant legal and compliance issues, including increased numbers of compliance tips, enforcement and regulatory alerts, and compliance tools. Investment Adviser's Legal and Compliance Guide, Second Edition covers in detail such topics as: Filings and amendments that an adviser must make to maintain its SEC registration Major rules and requirements dealing with marketing and attracting new clients Issues arising in connection with the management of private funds The SEC's examination process New clients, and the management of client accounts. The book also covers requirements relating to the adviser's obligation to its customers, including preventing insider trading and other trading abuses, as well as an adviser's recordkeeping, which is a major factor in meeting the requirements of the Investment Advisers Act. In addition, Investment Adviser's Legal and Compliance Guide, Second Edition provides registered investment advisers and their legal counsel with a comprehensive review of their compliance responsibilities that arise under the Investment Advisers Act.

CFA Program Curriculum 2019 Level III Volumes 1-6 Box Set

Author: CFA Institute

Publisher: John Wiley & Sons

ISBN: 1119516889

Category: Business & Economics

Page: 2832

View: 1388

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Apply CFA Program concepts and skills to real-world wealth and portfolio management for the 2019 exam The same official curricula that CFA Program candidates receive with program registration is now publicly available for purchase. CFA Program Curriculum 2019 Level III, Volumes 1-6 provides complete, authoritative guidance on synthesizing the entire CFA Program Candidate Body of Knowledge (CBOK) into professional practice for the 2019 exam. This book helps you bring together the skills and concepts from Levels I and II to formulate a detailed, professional response to a variety of real-world scenarios. Coverage spans all CFA Program topics and provides a rigorous treatment of portfolio management, all organized into individual study sessions with clearly defined Learning Outcome Statements. Visual aids clarify complex concepts, and practice questions allow you to test your understanding while reinforcing major content areas. Levels I and II equipped you with foundational investment tools and complex analysis skill; now, you'll learn how to effectively synthesize that knowledge to facilitate effective portfolio management and wealth planning. This study set helps you convert your understanding into a professional body of knowledge that will benefit your clients' financial futures. Master essential portfolio management and compliance topics Synthesize your understanding into professional guidance Reinforce your grasp of complex analysis and valuation Apply ethical and professional standards in the context of real-world cases CFA Institute promotes the highest standards of ethics, education, and professional excellence among investment professionals. The CFA Program curriculum guides you through the breadth of knowledge required to uphold these standards. The three levels of the program build on each other. Level I provides foundational knowledge and teaches the use of investment tools; Level II focuses on application of concepts and analysis, particularly in the valuation of assets; and Level III builds toward synthesis across topics with an emphasis on portfolio management.

Investment Adviser's Legal and Compliance Guide

Author: Terrance J. O'Malley

Publisher: Aspen Publishers

ISBN: 9780735550926

Category: Business & Economics

Page: 534

View: 1138

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Investment Adviser's Legal and Compliance Guide is an invaluable guide written to assist attorneys and advisers in both drafting their policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for experienced attorneys and compliance officers for their changing responsibilities under new rules adopted under the Investment Advisers Act of 1940, as well as new staff interpretations and guidance. Investment Adviser's Legal and Compliance Guide also provides an in depth tutorial for attorneys and compliance officers who are new to this field. Investment Adviser's Legal and Compliance Guide covers in detail such topics as: Filings and amendments that an adviser must make to maintain its SEC registration Major rules and requirements dealing with marketing and attracting new clients The SEC's inspection process New clients, and the management of client accounts. The book also covers requirements relating to the adviser's obligation to its customer, including preventing insider trading and other trading abuses, as well as an adviser's recordkeeping, which is a major factor in meeting the requirement of the Investment Advisers Act. In addition, Investment Adviser's Legal and Compliance Guide provides registered investment advisers and their legal counsel with a comprehensive review of their compliance responsibilities that arise under the Investment Advisers Act.

The Regulation of Money Managers

Mutual Funds and Advisers

Author: Tamar Frankel,Arthur B. Laby

Publisher: Wolters Kluwer Law & Business

ISBN: 145487063X

Category: Law

Page: 4330

View: 7159

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The Regulation of Money Managers (with the original subtitle: The Investment Company Act and The Investment Advisers Act) was published in 1978 and 1980. The Second Edition, subtitled Mutual Funds and Advisers, was published in 2001 and has been annually updated since then. It is a comprehensive and exhaustive treatise on investment management regulation. The treatise covers federal and state statutes, their legislative history, common law, judicial decisions, rules and regulations of the Securities and Exchange Commission, staff reports, and other publications dealing with investment advisers and investment companies. The treatise touches on other financial institutions such as banks, insurance companies, and pension funds. The work also discusses the economic, business, and theoretical aspects of the investment management industry and their effects on the law and on policy. The treatise contains detailed analysis of the history and development of the Investment Company Act and the Investment Advisers Act. It examines the definitions in the Acts, including the concept of ‘‘investment adviser,’’ ‘‘affiliates,’’ and ‘‘interested persons.’’ It outlines the duties of investment company directors, the independent directors, and other fiduciaries of investment companies. The treatise deals with the SEC’s enforcement powers and private parties’ rights of action.

The Practical Guide to HIPAA Privacy and Security Compliance, Second Edition

Author: Rebecca Herold,Kevin Beaver

Publisher: CRC Press

ISBN: 1439855595

Category: Business & Economics

Page: 544

View: 7902

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Following in the footsteps of its bestselling predecessor, The Practical Guide to HIPAA Privacy and Security Compliance, Second Edition is a one-stop, up-to-date resource on Health Insurance Portability and Accountability Act (HIPAA) privacy and security, including details on the HITECH Act, the 2013 Omnibus Rule, and the pending rules. Updated and revised with several new sections, this edition defines what HIPAA is, what it requires, and what you need to do to achieve compliance. The book provides an easy-to-understand overview of HIPAA privacy and security rules and compliance tasks. Supplying authoritative insights into real-world HIPAA privacy and security issues, it summarizes the analysis, training, and technology needed to properly plan and implement privacy and security policies, training, and an overall program to manage information risks. Instead of focusing on technical jargon, the book spells out what your organization must do to achieve and maintain compliance requirements on an ongoing basis.

Financial Regulation and Compliance

How to Manage Competing and Overlapping Regulatory Oversight

Author: H. David Kotz

Publisher: John Wiley & Sons

ISBN: 1118972236

Category: Business & Economics

Page: 256

View: 7516

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Devise an organized, proactive approach to financial compliance Financial Regulation and Compliance provides detailed, step-by-step guidance for the compliance professional seeking to manage overlapping and new regulatory responsibilities. Written by David Kotz, former Inspector General of the SEC with additional guidance provided by leading experts, this book is a one-stop resource for navigating the numerous regulations that have been enacted in response to the financial crisis. You'll learn how best to defend your organization from SEC, CFTC, FINRA, and NFA Enforcement actions, how to prepare for SEC, FINRA, and NFA regulatory examinations, how to manage the increasing volume of whistleblower complaints, how to efficiently and effectively investigate these complaints, and more. Detailed discussion of the regulatory process explains how aggressive you should be in confronting federal agencies and self-regulatory organizations and describes how commenting on issues that affect your business area can be productive or not. The companion website includes a glossary of terms, regulations and government guidance, relevant case law, research databases, and FAQs about various topics, giving you a complete solution for keeping abreast of evolving compliance issues. These days, compliance professionals are faced with a myriad of often overlapping regulatory challenges. Increased aggressiveness on the part of regulators has led to increased demand on financial firms, but this book provides clear insight into navigating the changes and building a more robust compliance function. Strengthen internal compliance and governance programs Manage whistleblower programs and conduct effective investigations Understand how to minimize exposure and liability from Enforcement actions Learn how to prepare for the different types of regulatory examinations Minimize exposure from FCPA violations Understand the pros and cons of commenting on regulations The volume and pace of regulatory change is causing new and diverse pressures on compliance professionals. Navigate the choppy waters successfully with the insider guidance in Financial Regulation and Compliance.

Oral and Maxillofacial Surgery - E-Book

3-Volume Set

Author: Raymond J. Fonseca

Publisher: Elsevier Health Sciences

ISBN: 0323444423

Category: Medical

Page: 2696

View: 1200

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This trusted, three-volume resource covers the full scope of oral and maxillofacial surgery with up-to-date, evidence-based coverage of surgical procedures performed today. NEW! Full color design provides a more vivid depiction of pathologies, concepts, and procedures. NEW! Expert Consult website includes all of the chapters from the print text plus "classic" online-only chapters and an expanded image collection, references linked to PubMed, and periodic content updates. NEW! Thoroughly revised and reorganized content reflects current information and advances in OMS. NEW! New chapters on implants and orthognathic surgery cover the two areas where oral and maxillofacial surgeons have been expanding their practice. NEW! Digital formats are offered in addition to the traditional print text and provide on-the-go access via mobile tablets and smart phones.

Money Laundering Law and Regulation

A Practical Guide

Author: Robin Booth

Publisher: Oxford University Press

ISBN: 0199543038

Category: Law

Page: 484

View: 8270

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Money Laundering Law and Regulation is a practical and comprehensive guide to domestic anti-money laundering law and regulation, increasingly seen as key weapons in the fight against serious and organised crime. The book explains the genesis of the current regime, placing it in the international and regional context. It also provides a chapter-by-chapter analysis of the current law, explaining and analysing key concepts; the statutory framework and individual offences; the developing case law; the Suspicious Activity Reporting regime and problems in its implementation, terrorist financing and money laundering; sentencing, civil recovery and confiscation; and jurisdictional issues. They conclude by looking at the practice of those tasked with prosecuting or defending offences by setting out the powers of investigation and prosecution under POCA and SOCPA and analysing the policy of the various prosecuting bodies, and finally looking at the practicalities of defending, particularly in respect of parallel civil and criminal proceedings, funding and Human Rights Act considerations. The authors comprise an expert team of barristers, including Robin Booth, Chair of the Law Society's Money Laundering Task Force and former head of the Fraud Division of the CPS.

The Nonprofit Manager's Resource Directory

Author: Ronald A. Landskroner

Publisher: John Wiley & Sons

ISBN: 0471273325

Category: Business & Economics

Page: 688

View: 798

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A newly revised and updated edition of the ultimate resource for nonprofit managers If you're a nonprofit manager, you probably spend a good deal of your time tracking down hard-to-find answers to complicated questions. The Nonprofit Manager's Resource Directory, Second Edition provides instant answers to all your questions concerning nonprofit-oriented product and service providers, Internet sites, funding sources, publications, support and advocacy groups, and much more. If you need help finding volunteers, understanding new legislation, or writing grant proposals, help has arrived. This new, updated edition features expanded coverage of important issues and even more answers to all your nonprofit questions. Revised to keep vital information up to the minute, The Nonprofit Manager's Resource Directory, Second Edition: * Contains more than 2,000 detailed listings of both nonprofit and for-profit resources, products, and services * Supplies complete details on everything from assistance and support groups to software vendors and Internet servers, management consultants to list marketers * Provides information on all kinds of free and low-cost products available to nonprofits * Features an entirely new section on international issues * Plus: 10 bonus sections available only on CD-ROM The Nonprofit Manager's Resource Directory, Second Edition has the information you need to keep your nonprofit alive and well in these challenging times. Topics include: * Accountability and Ethics * Assessment and Evaluation * Financial Management * General Management * Governance * Human Resource Management * Information Technology * International Third Sector * Leadership * Legal Issues * Marketing and Communications * Nonprofit Sector Overview * Organizational Dynamics and Design * Philanthropy * Professional Development * Resource Development * Social Entrepreneurship * Strategic Planning * Volunteerism

Model Rules of Professional Conduct

Author: ABA Center for Professional Conduct

Publisher: American Bar Association

ISBN: 9781604425178

Category: Law

Page: 209

View: 2988

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The Model Rules of Professional Conduct offers timely information on lawyer ethics. The black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules help lawyers identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the lawyer's relationship with clients, colleagues, and the courts.

Building a World-Class Compliance Program

Best Practices and Strategies for Success

Author: Martin T. Biegelman

Publisher: John Wiley & Sons

ISBN: 9780470278406

Category: Business & Economics

Page: 336

View: 6110

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Written by a long-standing practitioner in the field, this timely and critical work is your best source for understanding all the complex issues and requirements associated with corporate compliance. It provides clear guidance for those charged with protecting their companies from financial and reputational risk, litigation, and government intervention, who want a robust guide to establish an effective compliance program.