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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.
Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.
Investment Adviser's Legal and Compliance Guide
The Investment Advisor''s Compliance Guide, 3rd Edition delivers a concise yet comprehensive explanation of the rules and how they affect the work you do on a daily basis-no matter where you''re registered. It can be used as basic training for new Investment Advisor Representatives (IARs), as well as seasoned professionals. Best of all, it''s in plain English and will be helpful to both SEC and state-registered investment advisors (RIAs), as well as IARs. This title: Covers the SEC''s new marketing rule effective November, 2022, including new rules on advertising Identifies investment advisors'' fiduciary duties, including the Investment Advisers Act''s requirement to seek best execution for their clients Explains the registered investment advisor (RIA) registration requirements with either the Securities and Exchange Commission or state regulators Describes how to deal with client complaints as well as how to meet and exceed client expectations, as well as advice on how to deal with senior investors Provides the latest guidance from the NASSA, including the latest NASAA adviser''s guide and model rules Helps Chief Compliance Officers to identify situations that may subject them to personal liability Provides advice on Form ADV, the form used by investment advisers to register with both the Securities and Exchange Commission ("SEC") and state securities authorities, including how misstatements on Form ADV can lead to serious compliance issues Describes how to deal with client complaints as well as how to meet and exceed client expectations, as well as advice on how to deal with senior investors New in the 2023 Edition: A new chapters on the SEC''s Marketing Rule, including the use of testimonials, endorsements, third-party ratings, and performance advertising Analysis of the SEC''s new strategic plan for fiscal years 2022 through 2026, including the goals of protecting families against fraud and manipulation, developing a robust regulatory framework, and supporting a skilled workforce that is diverse and inclusive Personal liability issues facing Chief Compliance Officers (CCOs), including a discussion of the the SEC Commissioner''s 2022 personal liability analysis and the National Society of Compliance Professionals (NSCP)''s Firm and CCO Liability Framework to provide guidance to CCOs Update on the SEC''s 2022 Staff Bulletin: Standards of Conduct for Broker-Dealers and Investment Advisers Conflicts of Interest Impact of the pandemic on RIAs'' compliance obligations The use and misuse of today''s top social media platforms How new forms of communication can create compliance problems Form CRS and Regulation Best Interest compliance issues New discussion of senior clients, including coverage of the NASAA Model Act to Protect Vulnerable Adults from Financial Exploitation Topics Covered: The SEC''s new marketing rule, including discussion of advertising services Registration requirements for Investment Advisor Representatives The anti-fraud provisions of the Investment Advisers Act, including disclosure of conflicts of interest The code of ethics rule, including the purpose of the rule and insider trading Filing and updating of Form ADV Client communication and miscommunication, including the use of social media Analysis of the Investment Advisers Act''s "Compliance Program Rule," which requires advisors registered with the SEC to adopt and implement written compliance policies and procedures Issues related to fee miscalculations, including SEC warnings to about correctly aggregating household assets for purposes of fee calculations and over-billing of advisory fees Requirements for advisory contracts, including language to include in those contracts Fiduciary duty owed by investment advisors, including the fiduciary duty owed by robo-advisors and the best execution role Meeting and exceeding clients'' expectations Business continuity rules and succession planning The pay-to-play rule
Corporate Legal Compliance Handbook, Third Edition, provides the knowledge necessary to implement or enhance a compliance program in a specific company, or in a client's company. The book focuses not only on doing what is legal or what is right--the two are both important but not always the same--but also on how to make a compliance program actually work. The book is organized in a sequence that follows how to approach a compliance program. It gives the compliance officer, consultant, or attorney a good grounding in the basics of compliance law. This includes such things as the rules about corporate and individual liability, an understanding of the basics of the key laws that impact companies, and the workings of the U.S. Sentencing Guidelines. Successful programs also require an understanding of educational techniques, good communication skills, and the use of computer tools. The effective compliance program also takes into account how to deliver messages using a variety of media to reach employees in different locations, of different ages or education, who speak different languages. Note: Online subscriptions are for three-month periods.
Softbound - New, softbound print book.
Mandated Benefits 2022 Compliance Guide is a comprehensive and practical reference manual that covers key federal regulatory issues which must be addressed by human resources managers, benefits specialists, and company executives in all industries. This comprehensive and practical guide clearly and concisely describes the essential requirements and administrative processes necessary to comply with employment and benefits-related regulations.
The definitive guide to capital markets regulatory compliance Governance, Compliance, and Supervision in the Capital Markets demystifies the regulatory environment, providing a practical, flexible roadmap for compliance. Banks and financial services firms are under heavy regulatory scrutiny, and must implement comprehensive controls to comply with new rules that are changing the way they conduct business. This book provides a way forward, with clear, actionable guidance that strengthens governance at all levels, and balances supervisory and compliance requirements with the need to do business. From regulatory schemes to individual roles and responsibilities, this invaluable guide details the most pressing issues in today's financial services organizations, and provides expert advice. The ancillary website provides additional tools and guidance, including checklists, required reading, and sample exercises that help strengthen understanding and ease real-world implementation. Providing both a broad overview of governance, compliance, and supervision, as well as detailed guidance on application, this book presents a solid framework for firms seeking a practical approach to meeting the new requirements. Understand the importance of governance and "Tone at the Top" Distinguish the roles of compliance and supervision within a financial services organization Delve into the regulatory scheme applicable to broker dealers, banks, and investment advisors Examine the risks and consequences of inadequate supervision at the organizational or individual level The capital markets regulatory environment is complex and ever-evolving, yet compliance is mandatory. A solid understanding of regulatory structure is critical, but must also be accompanied by a practical strategy for effective implementation. Governance, Compliance, and Supervision in the Capital Markets provides both, enabling today's banks and financial services firms to get back on track and get back to business.
The second edition of The Law of Governance, Risk Management, and Compliance follows the first edition, as the first casebook focused on the law of governance, risk management, and compliance. Author Geoffrey P. Miller, a highly respected professor of corporate and financial law, brings real world experience to the book as a member of the board of directors and audit and risk committees of a significant banking institution. The book addresses issues of fundamental importance for any regulated organization (the $13 billion settlement between JPMorgan Chase and its regulators is only one of many examples). This book can be a cornerstone for courses on compliance, corporate governance, or on the role of attorneys in managing risk in organizational clients.
Providing a comprehensive framework for a sustainable governance model, and how to leverage it in competing global markets, Governance, Risk, and Compliance Handbook presents a readable overview to the political, regulatory, technical, process, and people considerations in complying with an ever more demanding regulatory environment and achievement of good corporate governance. Offering an international overview, this book features contributions from sixty-four industry experts from fifteen countries.