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1. |
Record Nr. |
UNINA9910149185203321 |
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Autore |
Haas Jeffrey |
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Titolo |
Investment adviser regulation in a nutshell / / by Jeffrey Haas, Steven Howard |
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Pubbl/distr/stampa |
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St. Paul, Minnesota : , : Thomson/West, , 2008 |
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©2008 |
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ISBN |
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Descrizione fisica |
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1 online resource (368 pages) : illustrations |
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Disciplina |
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Soggetti |
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Investment advisors - Legal status, laws, etc - United States |
Brokers - Legal status, laws, etc - United States |
Securities - United States |
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Lingua di pubblicazione |
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Formato |
Materiale a stampa |
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Livello bibliografico |
Monografia |
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Note generali |
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Nota di contenuto |
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Introduction -- Who is an investment adviser? -- Federal and state authority over investment advisers -- Hedge fund and collateralized debt obligation (CDO) advisers -- Registration and form ADV -- Advertising by investment advisers -- The advisory relationship -- Performance of duties -- Wrap fee programs -- Proprietary and insider trading -- Recordkeeping requirements -- Chief compliance officers (CCOs) and issues relating to them -- Compliance, inspection and enforcement under the Advisers Act -- Limited private right of action -- Purchase and sale of investment advisers -- Special issues relating to the advisory business. |
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2. |
Record Nr. |
UNINA9910427728103321 |
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Autore |
Bunge Friedrich Georg von |
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Titolo |
Altlivlands Rechtsbucher : Zum Theil Nach Bisher Unbenutzten Texten / / Friedrich Georg von Bunge |
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Pubbl/distr/stampa |
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Leipzig : , : Breitkopf und Härtel, , 1879 |
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Descrizione fisica |
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1 online resource (264 pages) |
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Disciplina |
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Soggetti |
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Lingua di pubblicazione |
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Formato |
Materiale a stampa |
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Livello bibliografico |
Monografia |
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