Thompson Finance

Investment Management Compliance Guide & Module

The Dodd-Frank Act is full of items that will affect investment advisers. Do you know how you will keep up...

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$719.00 Investment Management Compliance Module | Thompson Finance Compliance Expert

Dual (Online + Print)
$1070.00 plus $40 S&H

$1070.00 Investment Management Compliance Guide & Module | Thompson Finance Compliance Expert

The Dodd-Frank Act is full of items that will affect investment advisers. Do you know how you will keep up on the progress of those proposals? Plus, the SEC has tightened the rules that require investment advisers to submit to surprise examinations at their own expense. Do you know how those new rules will affect your firm’s standing? Thompson’s Investment Management Compliance Guide is the guide you need to stay in compliance and prevent costly fines and penalties.

Major Topics Covered

The Investment Management 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

100 Overview of the Industry
200 Investment Advisers
300 Investment Company: Definitions and Exemptions
400 Registered Investment Company Organization and Structure
500 Registered Investment Company Operational Practices
600 Registered Investment Company Sales Practices & Advertising
700 Alternatives to Registered Investment Company Structure
800 ERISA Restrictions
900 Regulation of Commodities
1000 Enforcement, Investment Advisers Act of 1940 & Rules
Appendices: Investment Company Act of 1940 & Rules, Other Rules and Notices, Related Statutes, Commission Releases, and Forms and Schedules

Format and Frequency

  • Two-volume manual
  • Quarterly updates
  • Quarterly newsletters

About Your Subscription

Your annual subscription includes published updates at no additional charge for the 12-month subscription period. If you have any questions about your subscription, please contact Client Services at 800-677-3789 or by emailing

Authors and Editors

Clifford Alexander

Clifford J. Alexander is a partner K&L Gates, LLP  in Washington, D.C. Alexander has specialized in investment company and securities law for more than 25 years. He previously worked as an analyst and attorney with the Securities and Exchange Commission. Clifford J. Alexander is author of Investment Management Compliance Guide.

Arthur Delibert

Arthur Delibert is a partner in the Washington, D.C., office of Kirkpatrick & Lockhart L.L.P. He has more than 15 years of experience in securities and investment company law, representing investment companies, investment advisers, investment company independent trustees and fund distributors. Previously, he served in the Securities and Exchange Commission's Office of General Counsel and as legal counsel to an SEC commissioner. Arthur C. Delibert is author and contributing editor of Investment Management Compliance Guide.

Cary J. Meer

Cary J. Meer is a partner in the New York City and Washington D.C. offices of K&L Gates, structures and organizes hedge funds, provides advice on Investment Advisers Act of 1940 compliance issues to investment advisers to hedge funds and separately managed accounts, counsels investment adviser and investment companies on Commodity Exchange Act compliance issues, and represents purchasers and sellers in connection with sales of investment advisory businesses.

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