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NEW YORK, Aug. 20, 2019 /PRNewswire/ -- Wolters Kluwer Legal & Regulatory U.S. has announced the release of "Investment Adviser's Legal and Compliance Guide, Third Edition," authored by Terrance J. O'Malley, John H. Walsh and now joined by William M. Watts. Available digitally on Cheetah™, Wolters Kluwer's 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.
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"Investment Adviser's 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 O'Malley. "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. O'Malley, 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 SEC's 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 industry's 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."
The Third Edition covers such topics as:
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- Filings and amendments that an adviser must make to maintain its SEC registration
- Major rules and requirements dealing with marketing and attracting new clients
- Issues arising in connection with the management of private funds
- The SEC's examination process
- New clients, and the management of client accounts
This new resource can be accessed through Cheetah™, Wolters Kluwer's intuitive legal research platform. Print copies may be purchased here: "Investment Adviser's Legal and Compliance Guide, Third Edition."
About Wolters Kluwer Legal & Regulatory U.S.
Wolters Kluwer Legal & Regulatory U.S. is a part of Wolters Kluwer N.V. (AEX: WKL), a global leader in professional information, software solutions, and services for the healthcare; tax and accounting; governance, risk and compliance; and legal and regulatory sectors. We help our customers make critical decisions every day by providing expert solutions that combine deep domain knowledge with advanced technology and services.
Wolters Kluwer reported 2018 annual revenues of €4.3 billion. The group serves customers in over 180 countries, maintains operations in over 40 countries, and employs approximately 19,000 people worldwide. The company is headquartered in Alphen aan den Rijn, the Netherlands.
Wolters Kluwer shares are listed on Euronext Amsterdam (WKL) and are included in the AEX and Euronext 100 indices. Wolters Kluwer has a sponsored Level 1 American Depositary Receipt (ADR) program. The ADRs are traded on the over-the-counter market in the U.S. (WTKWY).
For more information about Wolters Kluwer Legal & Regulatory U.S., visit www.WoltersKluwerLR.com, follow us on Facebook, Twitter and LinkedIn.
Media
Linda Gharib
Director, Communications
Wolters Kluwer Legal & Regulatory U.S.
Tel: +1 (646) 887-7962
Email: lrusmedia@wolterskluwer.com
SOURCE Wolters Kluwer Legal & Regulatory U.S.
Crypto Whales Are Loading Up — Are You?
New research shows the biggest crypto buyers are back. And this time? They could hold for the possibility that Bitcoin will surpass $100,000 in 2024. You don’t want to miss the next massive crypto bull run like we saw in 2020 and 2021. To know exactly what’s going on and what to buy… Get Access To Benzinga’s Best Crypto Research and Investments For Only $1.