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Investment Adviser Newsletter
From CCH Focuses On Compliance
(RIVERWOODS, ILL., May 23, 2000) Deregulation may be the watchword for much of
the financial services industry, but one segment of the securities business
investment advisers is perhaps subject to more scrutiny now than ever before,
according to CCH INCORPORATED (CCH), a leading provider of securities law information and
software. To help all those concerned stay on top of developments in the federal and state
regulation of their business, CCH now offers Investment Adviser Newsletter, a
bimonthly collection of timely news, critical updates, insightful analysis and special
features of interest to investment advisers, compliance officers and their legal counsel.
($195. For more information, call 800-449-6435.)
The financial services and securities industries are changing rapidly, and many of
those changes affect investment advisers, according to Sharon Kube, marketing director for
the CCH Business and Finance Group.
"A new state competency test was rolled out this January and the SEC is
contemplating new pay to play regulations, just to mention two developments
covered in the premiere issue of Investment Adviser Newsletter," Kube said.
"In addition, as the issue points out, more and more people in the industry are being
subjected to regulation as investment advisers with the move of broker-dealers
towards fee-based services and the end of the exclusion of banks from regulation with the
passage of Gramm-Leach-Bliley."
In every issue of the CCH Investment Adviser Newsletter, subscribers will find
concise coverage of:
- New court decisions
- SEC releases and no-action letters
- SEC enforcement actions
- State legislation
- The effect of the Gramm-Leach-Bliley Act on advisers
Built on the news-gathering skills and the analytical insight of experienced CCH
securities law experts, the Investment Adviser Newsletter offers busy professionals
an efficient way to stay in compliance with the rapidly changing rules of their dynamic
Availability and Pricing
For more information on the CCH Investment Adviser Newsletter, call
800-449-6435. A one-year subscription (six issues) is $195.
About CCH INCORPORATED
CCH has served more than four generations of business professionals and their clients,
covering a wide range of legal and compliance topics including securities, insurance,
banking, telecommunications, trade regulations and government contracting. CCH is a wholly
owned subsidiary of Wolters Kluwer. The CCH web site can be accessed at www.cch.com. The CCH Business and Finance
Group web site can be accessed at http://business.cch.com.
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