Morgan Lewis

Investment Advisers Publications of Interest

46 Publications Found
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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

12/29/04 Adviser Code of Ethics

Presentation | Speech
Steven Stone

12/12/04 Adviser Code of Ethics

Presentation | Webcast
Steven Stone

SEC Rules 204A-1; 204-2; and 17j-1

11/29/04 Responding to Coming Rule Changes on Soft Dollars

Presentation | Speech
Steven Stone

05/13/04 Investment Adviser Books and Records; NRS Basic Training, New York

Presentation | Speech
W. John McGuire

05/11/04 Best Execution & Brokerage Practices: Soft Dollars, Directed Brokerage, presented at the Investment Adviser Compliance Forum

Presentation | Speech
Steven Stone

03/16/04 Multi-Style Portfolios, presented at the 6th Annual ICAA/IA Week Best Practices Summit

Presentation | Speech
Steven Stone

10/29/03 Advanced Compliance Concepts for Investment Advisers, presented at the NSCP National Membership Meeting

Presentation | Speech
Steven Stone

10/29/03 Current Issues with Wrap Accounts, presented at the NSCP National Membership Meeting

Presentation | Speech
Steven Stone

10/23/03 Regulation & its Effects on Our Business, presented at the Morgan Stanley Institutional Equity U.S. Head Trader Forum

Presentation | Speech
Steven Stone

09/10/03 Advisory Referral Programs and Other Business Arrangements, presented at the NRS 18th Annual Fall Compliance Conference, Charleston, SC

Presentation | Speech
Steven Stone

09/08/03 Brave New World For Compliance Officers?; IA Week Fall Compliance Conference, Philadelphia

Presentation | Speech
W. John McGuire

05/30/03 Best Execution and Beyond

Presentation | Speech
Jennifer Klass

05/30/03 Investment Adviser Referral Arrangements

Presentation | Speech
Jennifer Klass

04/28/03 Proxy Voting by Mutual Funds and Investment Advisers

Presentation | Speech

04/24/03 Investment Advisers on the Internet

Presentation | Speech
Jennifer Klass

March/April 2003 SEC Record Requirements For Advisors, Schwab Institutional Compliance Review

Outside Publications | Article
W. John McGuire, Steven Stone

11/08/02 Investment Adviser Act Matters; ICAA Compliance Workshop, Chicago

Presentation | Speech
W. John McGuire

06/18/01 Marketing and Referral Arrangements From the Investment Adviser's Perspective

Presentation | Speech
Steven Stone

March 2001 Web-Based Investment Advisors and Commodity Trading Advisors, Review of Securities and Commodities Regulation, Vol. 34, No. 5, 47

Outside Publications | Article
Christian Mixter

02/09/01 Investment Adviser Books and Records, presented at NRS Basic Training, New York

Presentation | Speech
W. John McGuire

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