Summer Reading: The Registered Investment Adviser Handbook

Sure, it’s not your typical beach read, but who couldn’t benefit from a better understanding of the Investment Advisers Act?

The Practical Guidance Registered Investment Adviser Handbook is the definitive outline summarizing SEC regulatory issues for investment advisers, authored by Proskauer Rose Partner Robert Plaze. Before joining Proskauer, Plaze served as Deputy Director of the Division of Investment Management at the U.S. Securities and Exchange Commission (SEC). The Handbook covers extensive ground in key areas for fund managers, including adviser registration, required reporting, and substantive requirements under the U.S. Investment Advisers Act of 1940. The Handbook synthesizes regulation of advisers by the SEC, identifies legal and regulatory precedents, and identifies and links to underlying authorities.

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Related Content

• Registered Investment Adviser Handbook Chapter 6: Fiduciary Duties to Clients
  Read this chapter that covers the fiduciary duties owed by an investment adviser to its clients, including provision of disinterested advice, preventing conflicts of interest, and avoiding breaches of client trust.
• Registered Investment Adviser Handbook Chapter 7: Substantive Requirements (Advisers Act)
  Review this detailed examination of the specific anti-fraud provisions contained in the Advisers Act, containing recommendations for advertising, custody, and compliance.
• Registered Investment Adviser Handbook Chapter 10: Recordkeeping Requirements
  Consult this chapter that details the types of books and records each registered investment adviser is required to maintain—both general business records and records specific to an adviser’s role and duties to clients.

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