Investment adviser regulation in a nutshell / by Jeffrey J. Haas, Steven R. Howard.
2008
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Items
Details
Author
Title
Investment adviser regulation in a nutshell / by Jeffrey J. Haas, Steven R. Howard.
Added Author
Variant Title
Index screen title: Haas and Howard's Investment adviser regulation in a nutshell
Imprint
St. Paul, MN : Thomson/West, [2008]
Description
1 online resource (lv, 558 pages) : illustrations.
Series
Nutshell series.
Study aids (West Academic Publishing)
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.
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.
Note
Includes index.
Source of Description
Description based on e-publication title page, viewed January 22, 2015.
Location
www Access provided by Berkeley Law Library
Available in Other Form
Original
Access Note
Full text available with subscription to Study Aids package.
Linked Resources
Alternate Title
West Academic Publishers
Language
English
Record Appears in