The RIA's Compliance Solution Book: Answers for the Critical Questions Hardcover - 2006 - 1st Edition
by Demby, Elayne Robertson
- Used
- Hardcover
Description
Standard delivery: 2 to 8 days
Details
- Title The RIA's Compliance Solution Book: Answers for the Critical Questions
- Author Demby, Elayne Robertson
- Binding Hardcover
- Edition number 1st
- Edition 1
- Condition Used: Very Good
- Pages 316
- Volumes 1
- Language ENG
- Publisher Bloomberg Press
- Date 2006-05-01
- Features Dust Cover, Index, Price on Product - Canadian, Table of Contents
- Bookseller's Inventory # 240324001
- ISBN 9781576601921 / 1576601927
- Weight 1.3 lbs (0.59 kg)
- Dimensions 9.4 x 6.4 x 1.1 in (23.88 x 16.26 x 2.79 cm)
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Themes
- Interdisciplinary Studies: Law Studies
- Library of Congress subjects Investment advisors - Legal status, laws,, Investments - Law and legislation - United
- Library of Congress Catalog Number 2006009549
- Dewey Decimal Code 346.730
About Alchemy Books California, United States
Purveyor of previously loved used books of various genres.
From the rear cover
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.
Media reviews
Citations
- Reference and Research Bk News, 08/01/2006, Page 213