The Money Manager's Compliance Guide is an invaluable guide for chief compliance officers (CCOs) to help them achieve and maintain compliance with all applicable securities laws and regulations. Coverage includes Securities and Exchange Commission (SEC) registration and inspections; advertising and solicitation; liquidity and portfolio turnover; trading practices; Employee Retirement Income Security Act, fiduciary responsibilities; commodities regulation; personal trading prohibitions; subchapter M; contractual arrangements; the SEC, Department of Labor (DOL), Commodity Futures Trading Commission (CFTC) and state Blue Sky enforcement powers. The Guide spells out what you need to know to ensure compliance and avoid needless exposure to regulatory pressure, noncompliance penalties and lawsuits. Newsletters and Guide updates will keep you current on the latest SEC, CFTC and DOL regulations, enforcement practices and policies, court decisions and risk prevention procedures.

Featured Topics

• Investment Adviser and Investment Company Regulation
• Definitions, Exemptions, Structure and Operational Practices
• Sales Practices and Advertising
• ERISA Restrictions
• Regulation of Commodities
• Enforcement Guidance

Summary of Contents

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