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Investment Adviser Regulation Treatise


Practising Law Institute

Sutherland Partner Cliff Kirsch is the author of PLI's Investment Adviser Regulation Treatise.  The new third edition of Investment Adviser Regulation describes Regulation S-AM, which tightens the privacy requirements on client financial information • the various proposals on harmonizing broker-dealer and financial adviser regulation • proposals on increased fiduciary responsibilities • as well as the need for the development of improved risk management systems as a result of recent market disruptions.
Updated at least once a year, Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law is a crucial handbook for investment advisers, securities attorneys, compliance personnel, and federal and state regulators, and a useful reference for today's investors.

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click to watch Videocast: DOL Fiduciary Rule Litigation Impacts
Videocast: DOL Fiduciary Rule Litigation Impacts
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