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Policies + Procedures for Investment Advisors
Features and Benefits
An all-inclusive solution to assembling, recording and updating investment adviser manuals required by regulators. Policies + Procedures for Investment Advisors provides expert guidance in creating a Compliance Manual that meets SEC Rule 206(4)-7 requirements. Authored by one of the foremost experts in investment management, Policies + Procedures for Investment Advisors allows compliance professionals to create, revise, publish, navigate and distribute a compliance manual easily and efficiently. Policies + Procedures for Investment Advisors offers a suite of services wrapped into one complete program that will help minimise business and regulatory exposure.
Full Customisation
Utilising customisable technology, you can create a manual that meets your firm's unique needs.
Complete Regulatory Coverage
Policies + Procedures for Investment Advisors covers the Gramm Leach Bliley Act, Insider Trading and Securities Fraud Enforcement Act of 1933, Investment Advisers Act of 1940, Investment Company Act of 1940, Regulation S-P, Securities Act of 1933 and the USA PATRIOT Act, among others.
Store Prior Editions
Current versions and previous versions of your manual can be retained for ready reference.
Easy Distribution
Your manual can be installed on your network; our Internet site–Policies + Procedures for Investment Advisors; or your company's Intranet, making distribution simple.
Simple Searching
A simple keyword search and chapter navigation feature allows you to locate any particular procedure or rule reference in seconds.
Prior Editions
Current and previous versions of your manual can be retained for ready reference.
For more information, call 0800 840 1160 or email UKsales@wolterskluwer.com.
