Nutshell series. Study aids (West Academic Publishing)
Formatted Contents Note
Introduction Who is an investment adviser? Federal and state authority over investment advisers Hedge fund and collateralized debt obligation (CDO) advisers Registration and form ADV Advertising by investment advisers The advisory relationship Performance of duties Wrap fee programs Proprietary and insider trading Recordkeeping requirements Chief compliance officers (CCOs) and issues relating to them Compliance, inspection and enforcement under the Advisers Act Limited private right of action Purchase and sale of investment advisers Special issues relating to the advisory business.
Full text available with subscription to Study Aids package.
Type of File
West Academic eProducts doc viewer.
Digital File Characteristics
System Details Note
Mode of access: The purchase of an online book carries a 12-month license for online-use only. These products can be viewed on any device with an internet connection. There is no downloadable text or PDF made available to customers.
Source of Description
Description based on e-publication title page, viewed January 22, 2015.