Investment Advisers Publications of Interest

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46 Publications Found

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07/30/08 Investment Management Brochure

Marketing Material | Brochure
Investment Management & Securities Industry Group

06/25/08 National Financial Risk and Regulatory Client Webinar: Proposed Regulation S-P Amendments

Presentation | Webcast
Shauna Sappington, Mark Matthews, Steven Stone

05/23/07 How Investment Firms Manage and Disclose Conflicts: What Do Regulators Expect?, presented at the Alliance Bernstein Subadvisory Compliance Conference, New York

Presentation | Speech
Steven Stone

05/17/07 Wrap/SMA Accounts: New Developments and Compliance Issues, presented to the Investment Adviser Association, Washington, D.C.

Presentation | Speech
Steven Stone

01/26/06 International SMA Developments - A Legal & Regulatory Framework, presented at the MMI 2006 Sales & Marketing Leadership Summit

Presentation | Speech
Steven Stone

01/23/06 Best Execution and Brokerage Practices, presented at the Investment Adviser Compliance Forum

Presentation | Speech
Steven Stone

01/23/06 Soft Dollars Never Die: Current Perspectives for 2006, presented at the Investment Adviser Compliance Forum

Presentation | Speech
Steven Stone

01/01/06 Unbundling’s Doorstep: How Did We Finally Get Here?

Presentation | Speech
Steven Stone

12/06/05 Best Execution, Trading and Investment Opportunity Issues, presented at the Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance

Presentation | Speech
Steven Stone

12/06/05 New Developments in SMAs and Their Regulatory Dimensions, presented at the Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance

Presentation | Speech
Steven Stone

12/06/05 Suitability, Individualization and Rule 3a-4 Issues, presented to the Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance

Presentation | Speech
Steven Stone

11/10/05 Adviser Code of Ethics, presented at the CFA Institute/IAA Hedge Fund Compliance Conference

Presentation | Speech
Steven Stone

10/26/05 Investment Adviser Advertising, presented at the Investment Adviser Association's Compliance Workshop

Presentation | Speech
Steven Stone

10/26/05 Role of Advisers in Client Class-Action Claims, presented at the Investment Adviser Association's Compliance Workshop

Presentation | Speech
Steven Stone

10/26/05 Soft Dollar Developments, presented at the Investment Adviser Association's Compliance Workshop

Presentation | Speech
Steven Stone

10/25/05 Developing and Vetting New Products, presented at the NSCP National Membership Meeting, Alexandria, VA

Presentation | Speech
John Ayanian

10/25/05 Investment Adviser Conflicts of Interest, presented at the NSCP National Membership Meeting, Alexandria, VA

Presentation | Speech
Steven Stone

10/18/05 Coping with the New SEC Rules Extending Adviser Registration to Brokers Providing Advice, presented at the NRS 20th Annual Fall Compliance Conference, Miami Beach, FL

Presentation | Speech
Steven Stone

October 2005 The Role of Investment Advisers in Client Class Action Claims, The Investment Lawyer

Outside Publications | Article
Steven Stone, Ryan Helmrich

08/01/05 The Role of Investment Advisers in Client Class Action Claims, Investment Adviser Association Newsletter

Outside Publications | Article
Steven Stone, Ryan Helmrich

06/14/05 Annual Compliance Review, presented at the National Regulatory Services Compliance Program Rule Conference '05, Arlington, VA

Presentation | Speech
Steven Stone

05/17/05 Best Execution, Brokerage Practices & Changes to Soft Dollar Requirements, presented at the Investment Advisor Compliance Forum

Presentation | Speech
Steven Stone

04/06/05 Investment Advisors II, presented at the SIA Compliance & Legal Division Seminar 2005, Palm Desert, CA

Presentation | Speech
Steven Stone

January 2005 The Pitfalls of Performance-Based Fees: Lessons Learned from Bridgeway Capital Management, The Investment Lawyer

Outside Publications | Article
Monica Parry, Ryan Helmrich

01/12/05 Achieving Best Execution - A Practical Guide, presented at Financial Markets World Best Execution Conference

Presentation | Speech
Steven Stone

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