LegalAugust 20, 2019

Wolters Kluwer launches new edition of "Investment Adviser’s Legal and Compliance Guide"

Terrance J. O’Malley, John H. Walsh and William M. Watts provide comprehensive guidance for navigating the complexities surrounding compliance policies and procedures.

Wolters Kluwer Legal & Regulatory U.S. has announced the release of “Investment Adviser’s Legal and Compliance Guide, Third Edition,” authored by Terrance J. O’Malley, John H. Walsh and now joined by William M. Watts. Available digitally on Cheetah™, Wolters Kluwer’s acclaimed online research platform, this resource is a timely guide written to help compliance officers, attorneys and business personnel understand their compliance responsibilities, as well as draft and review their policies and procedures annually.

“Investment Adviser’s Legal and Compliance Guide,” Third Edition, reflects the most current discussions around legal and compliance topics for investment advisers, including fundamental issues arising under the Investment Advisers Act of 1940. The resource covers a broad range of topics from marketing to portfolio management to inspections and enforcement.

"The Investment Advisers Act of 1940 is the key piece of legislation that impacts investment advisers," said Terrance O’Malley. "As new rules are enacted and regulatory guidance is constantly evolving, we are keen to provide compliance officers, attorneys and business personnel with valuable guidance around regulatory requirements and expectations that will help with developing compliance policies and procedures."

The resource brings together Terrance J. O’Malley, a senior executive, general counsel and chief compliance officer, and John H. Walsh, a partner at the law firm Eversheds Sutherland (US) LLP and former acting director of the SEC’s Office of Compliance Inspections and Examinations. William M. Watts, a former SEC enforcement attorney and the General Counsel of Abu Dhabi Catalyst Partners Limited, joins as an author for the Third Edition. Together, the authors facilitate a seasoned discussion on compliance issues, including increased numbers of compliance tips, enforcement and regulatory alerts and compliance tools.

“Terrance and John are two of the industry’s leading practitioners who have taken a complicated set of requirements and presented them in a logical, clear and comprehensive format," said Watts. “I am pleased to join as an author and contribute my expertise to this essential resource."

The Third Edition covers such topics as:

  • Filings and amendments that an adviser must make to maintain its SEC registration
  • Major rules and requirements dealing with marketing and attracting new clients
  • Issues arising in connection with the management of private funds
  • The SEC's examination process
  • New clients, and the management of client accounts

This new resource can be accessed through Cheetah™, Wolters Kluwer’s intuitive legal research platform. Print copies may be purchased here: “Investment Adviser’s Legal and Compliance Guide, Third Edition.”


About Wolters kluwer

Wolters Kluwer (WKL) is a global leader in professional information, software solutions, and services for the health, tax & accounting, governance, risk & compliance, and legal & regulatory sectors. We help our customers make critical decisions every day by providing expert solutions that combine deep domain knowledge with specialized technology and services.