Product Details
Investment Adviser Regulation: A Step-by-Step Guide to Compliance and The Law (Pli Press's Corporate and Securities Law Library)

Investment Adviser Regulation: A Step-by-Step Guide to Compliance and The Law (Pli Press's Corporate and Securities Law Library)
By Clifford E. Kirsch

Price:

This item is not available for purchase from this store.
Click here to go to Amazon to see other purchasing options.


2 new or used available from $623.10

Product Description

Guides you effortlessly through the maze of federal & state statutory investment adviser regulations...Steer clear of SEC problems with this easy-to-use guide to the laws and regulations governing investment advisers. Investment Adviser Regulation explains in clear, understandable language the regulation of investment advisers, offering complete guidance on the federal and state laws governing adviser conduct with particular attention to the Investment Advisers Act, the Investment Company Act, and the Employee Retirement Income Security Act (ERISA). In addition to a clear explanation of the law, Investment Adviser Regulation provides in-depth analysis of complex status questions that determine crucial registration, disclosure and liability issues; a detailed explanation of Form ADV; potential conflicts of interest; relevant SEC releases and no-action letters; and much more.

Product Details

  • Amazon Sales Rank: #2637349 in Books
  • Published on: 2004-11-01
  • Original language: English
  • Number of items: 1
  • Binding: Hardcover
  • 972 pages

Editorial Reviews

About the Author
Clifford E. Kirsch is Vice President and Senior Corporate Counsel at The Prudential Insurance Company of America. Prior to that he was first Vice President and Associate General Counsel at Paine Webber's assest management subsidiary.