Vai al contenuto principale della pagina
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 |