Netherlands : Wolters Kluwer Launches New Edition of Investment Advisers Legal and Compliance Guide.
Wolters Kluwer Legal & Regulatory U.S. has announced the release of Investment Advisers Legal and Compliance Guide, Third Edition, authored by Terrance J. OMalley, John H. Walsh and now joined by William M. Watts. Available digitally on Cheetah, Wolters Kluwers acclaimed online research platform, this resource is a timely guide written to help compliance officers, attorneys and business personnel understand their compliance responsibilities, as well as draft and review their policies and procedures annually.
Investment Advisers Legal and Compliance Guide, Third Edition, reflects the most current discussions around legal and compliance topics for investment advisers, including fundamental issues arising under the Investment Advisers Act of 1940. The resource covers a broad range of topics from marketing to portfolio management to inspections and enforcement.
"The Investment Advisers Act of 1940 is the key piece of legislation that impacts investment advisers," said Terrance OMalley. "As new rules are enacted and regulatory guidance is constantly evolving, we are keen to provide compliance officers, attorneys and business personnel with valuable guidance around regulatory requirements and expectations that will help with developing compliance policies and procedures."
The resource brings together Terrance J. OMalley, a senior executive, general counsel and chief compliance officer, and John H. Walsh, a partner at the law firm Eversheds Sutherland (US) LLP and former acting director of the SECs Office of Compliance Inspections and Examinations. William M. Watts, a former SEC enforcement attorney and the General Counsel of Abu Dhabi Catalyst Partners Limited, joins as an author for the Third Edition. Together, the authors facilitate a seasoned discussion on compliance issues, including increased numbers of compliance tips, enforcement and regulatory alerts and compliance tools.
Terrance and John are two of the industrys leading practitioners who have taken a complicated set of requirements and presented them in a logical, clear and comprehensive format," said Watts. I am pleased to join as an author and contribute my expertise to this essential resource."
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|Date:||Aug 26, 2019|
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