The RIA's Compliance Solution Book

Answers for the Critical Questions

Omschrijving

Registered investment advisers are accustomed to regulatory scrutiny. But the -pressure to -understand changing compliance regulations and to meet the requirements they impose has never been more intense. A range of scandals and abuses--from the -laundering of -terrorist funds to mutual fund trading shenanigans--has caused the Securities and Exchange -Commission to tighten regulation and step up enforcement. Unfortunately, definitive -compliance -information--the kind that can save advisers precious time and spare them serious -trouble--has not been easy to find. Until now. The RIA's Compliance Solution Book gathers the information needed most and puts it all in one place. Here advisers will find plain- English translations of the rules that regulate such issues as: - ADVISORY CONTRACTS AND FEES - ADVERTISING AND CLIENT COMMUNICATIONS - RIA COMPLIANCE PROGRAMS AND CODES OF ETHICS - CUSTODY OF CUSTOMER ACCOUNTS - COMPLETING, FILING, AND AMENDING FORM ADV - SELECTING BROKERS AND EXECUTING TRADES The RIA's Compliance Solution Book is a long- overdue compendium for advisers who find themselves all but lost in the maze of regulations and requirements that continually takes new turns.
Gratis verzending vanaf
€ 19,95 binnen Nederland
Schrijver
Demby, Elayne Robertson
Titel
The RIA's Compliance Solution Book
Uitgever
Bloomberg Press
Jaar
2006
Taal
Engels
Pagina's
316
Gewicht
726 gr
EAN
9781576601921
Afmetingen
241 x 165 x 25 mm
Bindwijze
Hardback

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