Investment Adviser's Legal and Compliance Guide, Second Edition is an invaluable guide written to assist attorneys and investment advisers in both drafting their compliance policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for experienced attorneys and compliancethat a performance-related fee does not include an asset-based fee and that a pecuniary interest is not present where a ... Amends its Form ADV promptly whenever certain changes occur to information provided by the adviser, as described in the instructions to Form ADV. Makes ... Files an appropriate Schedule 13D or 13G, if required, as follows: a A Schedule 13D within ten days of acquiring beneficialanbsp;...
|Title||:||Investment Adviser's Legal and Compliance Guide|
|Author||:||Terrance J. O'Malley, John H. Walsh|
|Publisher||:||Aspen Publishers Online - 2013|