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The regulation of wrap fee programs Part II

The regulation of wrap fee programs Part II Part I of this series appeared in the Summer 2002 issue of The Journal of Investment Compliance. It addressed the regulation of wrap fee programs under the Investment Company Act of 1940 Investment Company Act and the requirements of Rule 3a4 thereunder, which must be met so that a wrap fee program is not deemed to be an investment company. Part I also discussed certain issues arising under the Investment Advisers Act of 1940 Advisers Act, including how program sponsors and any thirdparty portfolio managers generally are viewed as investment advisers and are subject to the Advisers Act. Part II discusses additional Advisers Act issues such as suitability, fees, and advertising. It also briefly reviews issues arising under the Securities Exchange Act of 1934 Exchange Act and the Employee Retirement Income Security Act of 1974 ERISA. The information provided in Part II assumes that readers have some basic familiarity with Part I. http://www.deepdyve.com/assets/images/DeepDyve-Logo-lg.png Journal of Investment Compliance Emerald Publishing

The regulation of wrap fee programs Part II

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Publisher
Emerald Publishing
Copyright
Copyright © Emerald Group Publishing Limited
ISSN
1528-5812
DOI
10.1108/joic.2002.3.2.44
Publisher site
See Article on Publisher Site

Abstract

Part I of this series appeared in the Summer 2002 issue of The Journal of Investment Compliance. It addressed the regulation of wrap fee programs under the Investment Company Act of 1940 Investment Company Act and the requirements of Rule 3a4 thereunder, which must be met so that a wrap fee program is not deemed to be an investment company. Part I also discussed certain issues arising under the Investment Advisers Act of 1940 Advisers Act, including how program sponsors and any thirdparty portfolio managers generally are viewed as investment advisers and are subject to the Advisers Act. Part II discusses additional Advisers Act issues such as suitability, fees, and advertising. It also briefly reviews issues arising under the Securities Exchange Act of 1934 Exchange Act and the Employee Retirement Income Security Act of 1974 ERISA. The information provided in Part II assumes that readers have some basic familiarity with Part I.

Journal

Journal of Investment ComplianceEmerald Publishing

Published: Apr 1, 2002

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