The Ria's Compliance Solution Book. Answers For The Critical Questions
The Ria's Compliance Solution Book. Answers For The Critical Questions

The Ria's Compliance Solution Book. Answers For The Critical Questions

RUR 6165.48

В наличии
4.6 звезд, основано на 25 отзывах
 

Registered investment advisers are accustomed to regulatory scrutiny

 
 
 

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

But the pressure to understand changing compliance regulations and to meet the requirements they impose has never been more intense

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 gathers the information needed most and puts it all in one place

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

 

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