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

0 avg rating
( 0 ratings by Goodreads )
 
9780872240995: Investment Adviser Regulation: A Step-by-Step Guide to Compliance and The Law (Pli Press's Corporate and Securities Law Library)

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.

"synopsis" may belong to another edition of this title.

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.

"About this title" may belong to another edition of this title.

Buy New View Book
List Price: US$ 195.00
US$ 324.78

Convert Currency

Shipping: FREE
Within U.S.A.

Destination, Rates & Speeds

Add to Basket

Top Search Results from the AbeBooks Marketplace

1.

Clifford E. Kirsch
Published by Practising Law Institute (2004)
ISBN 10: 0872240991 ISBN 13: 9780872240995
New Hardcover Quantity Available: 1
Seller:
Irish Booksellers
(Rumford, ME, U.S.A.)
Rating
[?]

Book Description Practising Law Institute, 2004. Hardcover. Book Condition: New. book. Bookseller Inventory # M0872240991

More Information About This Seller | Ask Bookseller a Question

Buy New
US$ 324.78
Convert Currency

Add to Basket

Shipping: FREE
Within U.S.A.
Destination, Rates & Speeds