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Investment Management Regulation

This class was created by Brainscape user Matthew Hayes. Visit their profile to learn more about the creator.

By: Matthew Hayes
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Decks in this class (7)

Module 1
Describe the origins and historic...,
Articulate the concerns that lead...,
Describe the goals and objectives...
4  cards
Module 2
Describe the iaas definition of i...,
What does it mean that ias give a...,
Describe the entities that are ex...
17  cards
Module 3
What are soft dollars,
What aspects describe fiduciary duty,
Identify conflicts of interest th...
11  cards
Module 4
Describe and apply the restrictio...,
Describe the iaas definition of a...,
Describe and apply the iaas restr...
10  cards
Module 5
Describe and apply the iaas regis...,
Describe the reporting and record...,
Describe the scope of the secs au...
8  cards
Module 6
0  cards
Module 7
0  cards

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Investment Management Regulation

  • Class purpose General learning

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