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? Thompson’s Investment Management Compliance Guide is the guide you need to stay in compliance and prevent costly fines and penalties.
Major Topics Covered
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.
Featured Topics
• Investment Adviser and Investment Company Regulation
• Definitions, Exemptions, Structure and Operational Practices
• Sales Practices and Advertising
• ERISA Restrictions
• Regulation of Commodities
• Enforcement Guidance
Summary of Contents
100 Overview of the Industry
200 Investment Advisers
300 Investment Company: Definitions and Exemptions
400 Registered Investment Company Organization and Structure
500 Registered Investment Company Operational Practices
600 Registered Investment Company Sales Practices & Advertising
700 Alternatives to Registered Investment Company Structure
800 ERISA Restrictions
900 Regulation of Commodities
1000 Enforcement, Investment Advisers Act of 1940 & Rules
Appendices: Investment Company Act of 1940 & Rules, Other Rules and Notices, Related Statutes, Commission Releases, and Forms and Schedules
Index
Format and Frequency
- Two-volume manual
- Quarterly updates
- Quarterly newsletters
About Your Subscription
Your annual subscription includes published updates at no additional charge for the 12-month subscription period. If you have any questions about your subscription, please contact Client Services at 800-677-3789 or by emailing service@thompson.com.
1.800.677.3789
service@thompson.com