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Fundamentals of Investment Adviser Regulation 2013
Clifford E. Kirsch
Corporate & Securities
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Table of Contents
Table of Contents
Chapter 1. Registration Under the Investment Advisers Act of 1940 (May 13, 2013)
Chapter 2. Introduction to the Investment Advisers Act
Chapter 3. State Registration of Investment Advisers
Chapter 4. Form ADV: Uniform Application for Investment Adviser Registration and Report Form by Exempt Reporting Advisers
Chapter 5. Regulation of Advisers (Part I): Attracting Clients and Establishing the Adviser-Client Relationship (July 17, 2013)
Chapter 6. Regulation of Advisers (Part II): Brokerage and Trading Practices (May 23, 2013)
Chapter 7. Adviser Compliance Policies and Procedures
Chapter 8. The Broker-Dealer and Adviser Uniform Standard of Care (July 17, 2013)
Chapter 9. Legal/Compliance Officer Liability for Duty to Supervise
Chapter 10. Compliance and Exams for Investment Adviser Lawyers (July 17, 2013)
Chapter 11. Investment Advisers to Private Funds: A Short Outline of Key Concepts (May 20, 2013)
Chapter 12. Private Fund Investment Advisers Registration Act of 2010 (July 21, 2010)
Chapter 13. Selected Regulations Under the Investment Advisers Act of 1940
Chapter 14. SEC Interpretive Guidance Concerning Registration of Related Persons Under the Investment Adviser Act of 1940 (January 18, 2012)
Chapter 15. Regulation of Advisers (Part 1): Attracting Clients and Establishing the Adviser-Client Relationship (July 17, 2013) (PowerPoint Slides)
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