The ABCs of Investment Adviser RegulationPractising Law Institute, 2008 - Investment advisors |
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Contents
EXCERPTS FROM RELEVANT STATUTES | 33 |
b Rule 20641 Advertisements by Investment | 43 |
Rule 20648 Pooled Investment Vehicles | 49 |
Copyright | |
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account statements Adopting Release advertisement adviser's Advisers Act Release advisory clients advisory contracts advisory fees advisory services affiliated amendment annual review audited books and records broker-dealer brokerage Cambiar Cambiar Investors chief compliance officer client assets client funds compliance policies compliance program Custody Rule DALBAR rating disclose disclosure Division of Investment e-mails false or misleading firm firm's Form ADV Form ADV-W fund of funds fund's funds or securities Goldstein Opinion hedge fund advisers Investment Advisers Act investment advisory Investment Management investment performance investors issues March 20 Model Portfolio Munder Capital Management mutual fund no-action offshore fund partial client list person policies and procedures Practising Law Institute private fund prohibited proposed satisfaction guarantee prospective client proxy voting qualified custodian recommend enforcement action refund registered investment adviser regulatory request response SEC staff securities laws service providers supra note survey testimonial third party violations