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Broker-Dealer and Adviser Regulatory Compliance Forum 2010

Author(s): Clifford E. Kirsch
Practice Area: Banking, Corporate & Securities
Published: Sep 2010
ISBN: 9781402414534
PLI Item #: 26964
CHB Spine #: B1831

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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Broker-Dealer and Adviser Compliance Programs
Chapter 2. Navigating the Advertising Rules Applying to Investment Adviser and Broker-Dealer Advertising
Chapter 3. Overview of Due Diligence Obligations for Broker-Dealers and Advisers When Recommending Unregistered Securities and Selecting Fund Managers
Chapter 4. Outsourcing Back-Office Functions to Third-Party Service Providers
Chapter 5. Privacy and Safeguarding Customer Information
Index