Fundamentals of Investment Adviser RegulationPractising Law Institute, 2009 - Investment advisors |
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Page 126
... client list to clients and prospective clients either following their expression of interest in obtaining information regarding Cambiar or at one - on - one meetings , but would not permit the inclusion of a partial client list in a ...
... client list to clients and prospective clients either following their expression of interest in obtaining information regarding Cambiar or at one - on - one meetings , but would not permit the inclusion of a partial client list in a ...
Page 127
... prospective clients is provided under the provisions of Rule 206 ( 4 ) -1 ( a ) ( 5 ) . The disclaimers or ... prospective client . Any assumption that brokers or consultants are more sophisticated than the universe of potential clients ...
... prospective clients is provided under the provisions of Rule 206 ( 4 ) -1 ( a ) ( 5 ) . The disclaimers or ... prospective client . Any assumption that brokers or consultants are more sophisticated than the universe of potential clients ...
Page 137
... prospective clients is provided under the provisions of Rule 206 ( 4 ) -1 ( a ) ( 5 ) . The disclaimers or ... prospective client . Any assumption that brokers or consultants are more sophisticated than the universe of potential clients ...
... prospective clients is provided under the provisions of Rule 206 ( 4 ) -1 ( a ) ( 5 ) . The disclaimers or ... prospective client . Any assumption that brokers or consultants are more sophisticated than the universe of potential clients ...
Contents
Prepared for distribution at | 6 |
INTRODUCTORY OVERVIEW | 33 |
U S SECURITIES AND EXCHANGE COMMISSION | 51 |
Copyright | |
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Common terms and phrases
account statements Adopting Release advertisement adviser's Advisers Act Release Advisers and IARs advisory clients advisory contracts advisory fees advisory services audited books and records broker-dealer brokerage Cambiar Investors Chief Compliance Officer client assets client funds compliance program Custody Rule DIA Letter disclose Division of Investment Exchange Commission 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 issues KIRKPATRICK & LOCKHART Model Portfolio Munder Capital Munder Capital Management mutual fund No-Action Letter OCIE offshore fund partial client list person policies and procedures pooled investment vehicle Practising Law Institute private fund prohibited proposed satisfaction guarantee prospective clients proxy voting qualified custodian recommend enforcement action registered investment adviser request response SEC staff SEC's Securities and Exchange service providers supra note survey testimonial third party violations