Investment adviser regulation in a nutshell / / by Jeffrey Haas, Steven Howard
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| Autore: |
Haas Jeffrey
|
| Titolo: |
Investment adviser regulation in a nutshell / / by Jeffrey Haas, Steven Howard
|
| Pubblicazione: | St. Paul, Minnesota : , : Thomson/West, , 2008 |
| ©2008 | |
| Descrizione fisica: | 1 online resource (368 pages) : illustrations |
| Disciplina: | 346.73092 |
| Soggetto topico: | Investment advisors - Legal status, laws, etc - United States |
| Brokers - Legal status, laws, etc - United States | |
| Securities - United States | |
| Persona (resp. second.): | HowardSteven |
| Note generali: | Includes index. |
| Nota di contenuto: | 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. |
| Titolo autorizzato: | Investment adviser regulation in a nutshell |
| ISBN: | 1-63459-988-8 |
| Formato: | Materiale a stampa  |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione: | Inglese |
| Record Nr.: | 9910149185203321 |
| Lo trovi qui: | Univ. Federico II |
| Opac: | Controlla la disponibilità qui |