Investment Adviser's Legal and Compliance Guide, Second Edition is an invaluable guide written to assist attorneys and investment advisers in both drafting their compliance policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for experienced attorneys and complianceConclusion V. Effective Date I. Introduction Section 206(3) of the Investment Advisers Act of 1940i makes it unlawful for any investment ... iiiWe and our staff have applied Section 206(3) to apply not only to principal and agency transactions engaged in or effected by any adviser, but ... Staff no-action letter, Hartzmark aamp; Co.
|Title||:||Investment Adviser's Legal and Compliance Guide|
|Author||:||Terrance J. O'Malley, John H. Walsh|
|Publisher||:||Aspen Publishers Online - 2013|