Investment adviser regulation in a nutshell / by Jeffrey J. Haas, Steven R. Howard.
2008
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Details
Author
Title
Investment adviser regulation in a nutshell / by Jeffrey J. Haas, Steven R. Howard.
Added Author
Imprint
St. Paul, MN : Thomson/West, [2008]
Distributed
[Getzville, New York] : William S. Hein & Company, [2024]
Description
1 online resource (lviii, 558 pages).
Series
West Academic casebooks archive.
Nutshell series.
Nutshell series.
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 PDF title page, viewed July 10, 2024.
Location
www
Available in Other Form
Original
Linked Resources
Alternate Title
HeinOnline.
Language
English
Record Appears in