Mutual fund & investment adviser compliance programs
Series: PBI -- no. 2006-4451; PBI -- no. 06:055; PBI (Series) -- no. 2006-4451.; PBI (Series) -- no. 06:057.
Publisher: Pennsylvania Bar Institute
Published: 2006
Place of publication: [Mechanicsburg, Pa.]
Language: eng
Number of pages: 151
Subjects: Investment advisors; Legal status, laws; Mutual funds; Law and legislation; Internal Auditing
Other titles: Mutual fund and investment adviser compliance programs; Investment adviser compliance programs
Notes: Includes bibliographical references.
Table of contents: title: Introduction and overview of topic / Brian S. Vargo; title: Strategies for risk assessment, monitoring, and testing (Dechert LLP 2005) / Jane A. Kanter, Jennifer O. Epstein, Michael L. Sherman and Patrick Cowherd; title: Current protocols of the Office of Compliance Inspections and Examinations; title: Compliance program and review: lessons learned; title: Certain trends in investment adviser supervisory, fiduciary, compliance and control policies and procedures / Diana E. McCarthy; title: Demystifying compliance : lessons we have learned compliance policies & procedures / John J. Schneider; title: Conducting the annual review : investment adviser focus PowerPoint / Brian C. Dillon; title: Fund directors' update : CCO annual report - what is the board's responsibility? / E. Carolan Berkley.