Investment Management Compliance Manual - Online

The Dodd-Frank Act is full of items that will affect investment advisers. Do you know how you will keep up on the progress of those proposals? Plus, the SEC has tightened the rules that require investment advisers to submit to surprise examinations at their own expense. Do you know how those new rules will affect your firm’s standing? The Investment Management Compliance Guide is the guide you need to stay in compliance and prevent costly fines and penalties. The Investment Management Compliance Guide is an invaluable guide for chief compliance officers (CCOs) to help them achieve and maintain compliance with all applicable securities laws and regulations. Coverage includes Securities and Exchange Commission (SEC) registration and inspections; advertising and solicitation; liquidity and portfolio turnover; trading practices; Employee Retirement Income Security Act, fiduciary responsibilities; commodities regulation; personal trading prohibitions; subchapter M; contractual arrangements; the SEC, Department of Labor (DOL), Commodity Futures Trading Commission (CFTC) and state Blue Sky enforcement powers. The Guide spells out what you need to know to ensure compliance and avoid needless exposure to regulatory pressure, noncompliance penalties and lawsuits. Newsletters and Guide updates will keep you current on the latest SEC, CFTC and DOL regulations, enforcement practices and policies, court decisions and risk prevention procedures.