Morrison & Foerster Releases Investment Adviser Compliance Index

06/12/2019

Susan I. Gault-Brown and Kelley A. Howes

Investment Management

MoFo News Item

The Investment Advisers Act of 1940 (the “Advisers Act”) is the shortest of the federal securities laws enacted after the Great Depression, and the SEC has adopted relatively few regulations under the Advisers Act. As any compliance officer knows, however, the Advisers Act and its related regulations are not the only basis upon which an investment adviser should be basing its compliance decisions. In short, compliance with the Advisers Act is subject to the periodic interpretation of the SEC and its staff and can be complex.

With that in mind, Morrison & Foerster has created a handbook designed to provide a simple reference guide that includes the basis for certain key “rules” applicable to an investment adviser’s business – even when they aren’t really rules. It is not an exhaustive compendium of regulatory guidance, but rather a compliance index of sorts for the compliance practitioner and a resource that can be referred to when needed.

Access our 2019 Investment Compliance Index.

Email Disclaimer

Unsolicited e-mails and information sent to Morrison & Foerster will not be considered confidential, may be disclosed to others pursuant to our Privacy Policy, may not receive a response, and do not create an attorney-client relationship with Morrison & Foerster. If you are not already a client of Morrison & Foerster, do not include any confidential information in this message. Also, please note that our attorneys do not seek to practice law in any jurisdiction in which they are not properly authorized to do so.

©1996-2019 Morrison & Foerster LLP. All rights reserved.