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Investment Advisers: Law & Compliance

Investment Advisers: Law & Compliance

A compliance and practice guide interpreting the Investment Advisers Act.


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Publisher :Matthew Bender
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    A clear compliance and practice guide that explains and interprets the Investment Advisers Act plus the entire SEC (Securities Exchange Commission) tangle of intricate rulemaking, interpretive releases, and enforcement actions aimed at filling its gaps. Written especially for practitioners, Investment Advisers: Law & Compliance covers:

    • Who is an "investment adviser" and subject to the Act - and who is not covered
    • Registration procedures for investment advisers, including a detailed review of Form ADV
    • What advisers are allowed to say - and what they must say - to current and prospective clients
    • How the Act regulates solicitation and referral arrangements, advertising, and Internet activities
    • Full text of the 1940 Act and Rules promulgated thereunder

    Looseleaf; updated with revision.

    2 Volumes

    View Chapter Excerpt

    Chapter 1 Introduction
    Chapter 2 Legislative History of the Act
    Chapter 3 Who is an Investment Adviser?
    Chapter 4 SEC and State Authority over Investment Advisers
    Chapter 5 Registration, Form ADV and the IARD
    Chapter 6 International Issues
    Chapter 7 Advertising
    Chapter 8 Establishing the Advisory Relationship
    Chapter 9 Fiduciary Duty
    Chapter 10 Wrap Fee and Other Investment Advisory Programs
    Chapter 11 Personal and Proprietary Trading
    Chapter 12 Position Reporting Obligations
    Chapter 13 Adviser Record Keeping Requirements
    Chapter 14 Compliance, Inspections and Enforcement under the Advisers Act
    Chapter 15 Employee Benefit Plan Clients and IRAs
    Primary Source
    Appendix A Investment Advisers Act of 1940
    Appendix B Investment Advisers Act Rules
    Appendix C Forms and Schedules
    Appendix D Legislative History of the Investment Advisers Act of 1940
    Appendix E Selected Releases from the Securities and Exchange Commission
    Appendix F Selected SEC No-Actions Letters and Other SEC Correspondence
    Appendix G Selected SEC and Treasury Department Rules and Regulations
    Appendix H Selected Federal Cases
    Appendix I Selected Decisions of the Securities and Exchange Commission
    Appendix J Selected Staff Reports and Other Publications of the SEC
    Appendix K Selected Department of Labor Materials
    Appendix L Selected NASD Rules, Correspondence, and Notices to Members
    Appendix M Investment Company Institute Report of the Advisory Group on
                      Personal Investing

     

    James E. Anderson


    James E. Anderson has a general securities practice, with an emphasis on investment management and broker-dealer regulatory, enforcement, and litigation matters. From May of 1992 through August of 1994, Mr. Anderson served as a Staff Attorney in the Office of Investment Company Regulation, Division of Investment Management, of the United States Securities & Exchange Commission. He was involved in the re-evaluation of existing statutory and regulatory requirements and the design of new approaches to changing conditions in the investment company industry.

    Mr. Anderson is a graduate of the University of Utah (B.A. 1988) and the J. Reuben Clark Law School, Brigham Young University (J.D. 1992, magna cum laude, Order of the Coif), where he was Lead Articles Editor of the BYU Law Review.

    Marianne K. Smythe


    Marianne K. Smythe advises and represents banks, investment banking firms, mutual funds and other investment companies, investment advisers, pension fund administrators, and insurance companies on investment company, investment adviser, and broker-dealer regulatory issues, related issues affecting banks and pension funds, and other matters involving investment and financial products. Prior to joining the firm in May 1993, Ms. Smythe served for two and a half years as the Director of the Division of Investment Management of the Securities and Exchange Commission (SEC). While serving as the Division's Director, she also was in charge of the SEC's Office of Public Utility Regulation. Ms. Smythe previously served as Executive Assistant to SEC Chairman Richard C. Breeden, a position she assumed in April 1990. She served as Associate Director of the Division of Investment Management from 1988 to 1990.

    Ms. Smythe was a Professor at the School of Law of the University of North Carolina at Chapel Hill (1981-1987), where she taught Administrative Law, Environmental Law, and Contracts. She also served as Assistant Provost of the University for several Years.

    Ms. Smythe is a graduate of Bucknell University (B.S. 1963) and the University of North Carolina at Chapel Hill (J.D. 1974, with honors), where she was Articles Editor of the North Carolina Law Review and was elected to the Order of the Coif.

    Robert G. Bagnall


    Mr. Bagnall specializes in investment management regulation, focusing on investment company and investment adviser matters. He serviced as Senior Special Counsel in the Office of Chief Counsel of the SEC's Division of Investment Management from 1995 through 1996, He also previously served as Assistant Chief of the Office of Regulatory Policy, which is responsible for rulemaking under the Investment Company Act and other federal securities laws and produced the report, Protecting Investors: A Half Century of Investment Company Regulation.

    Mr. Bagnall is a graduate of Yale University (B.A. 1977, summa cum laude, Phi Beta Kappa) and Harvard University (J.D. 1985), where he was Editor (Developments) of the Harvard Civil Rights-Civil Liberties Law Review. He joined WCP as counsel in 1996 and became a partner in January 2002. Mr. Bagnall is an adjunct professor at Georgetown University Law Center and speaks frequently at conferences.

     

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