LEGAL GUIDE CONTENT FILES


Return to Home Page

Return to About Our Content

ADVISORY CONTRACT

  • Advisory Contract Requirement
  • Assignment
  • Fees
  • Fulcrum Performance Fee
  • Qualified Client Performance Fee

    BROKERAGE & TRADING

  • Agency Cross Transactions
  • Best Execution
  • Directed Brokerage Arrangements
  • Employee Trades (Code of Ethics)
  • Insider Trading
  • Soft Dollar Arrangements
  • Suitability
  • Trade Allocation
  • Wrap Accounts

    COMPLIANCE PROGRAM

  • Compliance Manual
  • Compliance Program Overview
  • Compliance Program Requirements
  • Compliance System
  • Compliance Supervision
  • Compliance Supervisory Structure

    CUSTODY & RECORDKEEPING

  • Custody Definition
  • Custody Requirements
  • Methods of Maintaining Records
  • Required Records for All Advisers
  • Required Records for Advisers with Custody

    ERISA

  • ERISA Fiduciary Duty
  • Fiduciary Definition
  • Fiduciary Safe Harbor
  • Fiduciary Status
  • Prohibited Transactions
  • Prohibited Transaction Exemptions
  • Proxy Voting
  • Prudent Man Rule

  • MARKETING

  • Actual Performance Results
  • Advertisement Definition
  • Advertisements
  • Backtesting
  • False or Misleading Advertisements
  • Free Reports
  • Model Performance Results
  • One-On-One Presentations
  • Past Recommendations
  • Performance Advertisements
  • Privacy Requirements
  • Solicitors (Referral Fee Arrangements)
  • Testimonials
  • Use of Performance Achieved At Prior Firm
  • REGISTRATION

  • Commodities and Futures Registration
  • Definition of Investment Adviser
  • Disclosure Statement (Brochure)
  • Foreign Advisers
  • Hedge Fund Adviser Registration
  • Investment Adviser Representative Registration
  • Investment Adviser State Registration
  • Registration Exemptions
  • SEC Registration

    REGULATORS

  • Commodities Futures Trading Commission
  • Department of Labor
  • EDGAR
  • Securities and Exchange Commission
  • SEC Enforcement and Sanctions
  • SEC Inspections
  • SEC Inspection Tips
  • State Securities Commissions

  • Copyright � 1999 moneymanagerservices.com. All rights reserved.