Overview
Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law guides practitioners through statutory, SEC, and state standards impacting investment advisers, as well as provides advice on the practical aspects of building a practice. This book clarifies key status issues that determine registration and disclosure duties as well as liability exposure. It provides guidance and instruction on how to file and update Form ADV; draft advisory contracts; follow stringent advertising guidelines; structure compliant soft-dollar arrangements; meet best execution requirements and other practice standards; satisfy record-keeping rules; and adhere to certain cybersecurity requirements.
Updated at least once a year, Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law is an essential resource for investment advisers, securities attorneys, compliance personnel, and federal and state regulators, and a useful reference for today's investors.