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Feb 19, 2013

Investment Advisers Act Compliance Developments in 2013

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New York partner Nathan J. Greene published an article, titled "Investment Advisers Act Compliance Developments in 2013," in the January-February 2013 issue of Practical Compliance & Risk Management for the Securities Industry, a professional journal published by Wolters Kluwer Financial Services, Inc.

The article provides a detailed analysis of Advisers Act compliance self-assessments, including in relation to seeking clients, providing investment advice and administering the advisory business. Greene also describes new government filings, including Form PF, Form CPO-PQR, Form CTA-PR and Form ADV. The article goes on to highlight compliance issues beyond the Advisers Act, such as the Alternative Investment Fund Managers Directive, FATCA, the Volcker Rule, central clearing and the prospect of uniform standards of conduct for broker-dealers and investment advisers.

View full article, Investment Advisers Act Compliance Developments in 2013

View Greene’s earlier article in this series, Investment Advisers Act Compliance Developments in 2012

Authors and Contributors

Nathan Greene

Partner

Investment Funds

+1 212 848 4668

+1 212 848 4668

New York