The ABCs of Investment Adviser RegulationPractising Law Institute, 2007 - Investment advisors |
Contents
I | 15 |
HOW TO PREPARE FOR AN SEC INSPECTION | 29 |
MARKETING | 32 |
Copyright | |
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1A Instruction Adopting Release advertisement advice adviser's Advisers Act Release advisory affiliate advisory business advisory clients advisory fees advisory services annual updating amendment application assets under management books and records brochure broker broker-dealer brokerage Cambiar Investors client funds compliance program CRD Number DALBAR Date directly or indirectly disclosure electronically eligible exemption firm firm's Form ADV Form ADV-W fund of funds fund's funds or securities hedge fund advisers IARD Investment Advisers Act investment advisory Investment Management investors letter limited liability company limited partnership mutual fund NASD office and place order management systems partial client list participating place of business policies and procedures pooled investment portfolio manager principal office private fund prohibition proposed satisfaction guarantee prospective clients proxy voting qualified custodian related person request response to Item SEC registration SEC staff Section 28(e securities authorities submitted testimonial third party transactions wrap fee program