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- 2006280787 alternative "Investment adviser compliance programs".
- 2006280787 alternative "Mutual fund and investment adviser compliance programs".
- 2006280787 contributor B10484631.
- 2006280787 created "c2006.".
- 2006280787 date "2006".
- 2006280787 date "c2006.".
- 2006280787 dateCopyrighted "c2006.".
- 2006280787 description "Includes bibliographical references.".
- 2006280787 description "Introduction and overview of topic / Brian S. Vargo -- Strategies for risk assessment, monitoring, and testing (Dechert LLP 2005) / Jane A. Kanter, Jennifer O. Epstein, Michael L. Sherman and Patrick Cowherd -- Current protocols of the Office of Compliance Inspections and Examinations -- Compliance program and review: lessons learned -- Certain trends in investment adviser supervisory, fiduciary, compliance and control policies and procedures / Diana E. McCarthy -- Demystifying compliance : lessons we have learned compliance policies & procedures / John J. Schneider -- Conducting the annual review : investment adviser focus PowerPoint / Brian C. Dillon -- Fund directors' update : CCO annual report - what is the board's responsibility? / E. Carolan Berkley.".
- 2006280787 extent "ix, 151 p. ;".
- 2006280787 isPartOf "PBI (Series) ; no. 06:057.".
- 2006280787 isPartOf "PBI (Series) ; no. 2006-4451.".
- 2006280787 isPartOf "PBI ; no. 06:055".
- 2006280787 isPartOf "PBI ; no. 2006-4451".
- 2006280787 issued "2006".
- 2006280787 issued "c2006.".
- 2006280787 language "eng".
- 2006280787 publisher "[Mechanicsburg, Pa.] : Pennsylvania Bar Institute,".
- 2006280787 spatial "United States.".
- 2006280787 subject "Auditing, Internal Law and legislation United States.".
- 2006280787 subject "Investment advisors Legal status, laws, etc. United States.".
- 2006280787 subject "KF1072.A75 M88 2006".
- 2006280787 subject "Mutual funds Law and legislation United States.".
- 2006280787 tableOfContents "Introduction and overview of topic / Brian S. Vargo -- Strategies for risk assessment, monitoring, and testing (Dechert LLP 2005) / Jane A. Kanter, Jennifer O. Epstein, Michael L. Sherman and Patrick Cowherd -- Current protocols of the Office of Compliance Inspections and Examinations -- Compliance program and review: lessons learned -- Certain trends in investment adviser supervisory, fiduciary, compliance and control policies and procedures / Diana E. McCarthy -- Demystifying compliance : lessons we have learned compliance policies & procedures / John J. Schneider -- Conducting the annual review : investment adviser focus PowerPoint / Brian C. Dillon -- Fund directors' update : CCO annual report - what is the board's responsibility? / E. Carolan Berkley.".
- 2006280787 title "Investment adviser compliance programs".
- 2006280787 title "Mutual fund & investment adviser compliance programs.".
- 2006280787 title "Mutual fund and investment adviser compliance programs".
- 2006280787 type "text".