Overview investment advisers legal and compliance guide third edition is an invaluable guide written to assist attorneys and investment advisers in both drafting their compliance policies and procedures and reviewing them annually. Investment advisers legal and compliance guide second edition is an invaluable guide written to assist attorneys and investment advisers in both drafting their compliance policies and procedures and reviewing them annually. Investment advisers legal and compliance guide is an invaluable guide written to assist attorneys and advisers in both drafting their policies and procedures and reviewing them annually in addition the book serves as a practical tool for experienced attorneys and compliance officers for their changing responsibilities under new rules adopted under the investment advisers act of 1940 as well as new staff interpretations and guidance. pdf investment advisers legal and compliance guide uploaded by c s lewis investment advisers legal and compliance guide third edition is an invaluable guide written to assist attorneys and investment advisers in both drafting their compliance policies and procedures and reviewing them annually in addition the book serves as a investment . Investment advisers should review their compliance policies code of ethics and overall compliance program under rule 2064 7 of the advisers act of 1940 the annual review should address at a minimum conflicts of interest including discussion of side letters and performance fees