Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (3 Volume set)

At a time of many regulatory changes being made as a result of the economic downturn, the new third edition of Investment Adviser Regulation guides you safely through the maze of Congressional, SEC, and state standards impacting investment advisers as well as helping you understand the practical aspects of building a practice. It clarifies key status issues that determine registration and disclosure duties as well as liability exposure. Specifically, it shows you 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 recordkeeping rules The new third edition of Investment Adviser Regulation describes Regulation S-AM, which tightens the privacy requirements on client financial information the various proposals on harmonizing broker-dealer and financial adviser regulation proposals on increased fiduciary responsibilities as well as the need for the development of improved risk management systems as a result of recent market disruptions. Updated at least once a year, Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law is a crucial handbook for investment advisers, securities attorneys, compliance personnel, and federal and state regulators, and a useful reference for today's investors.