The RIA's Compliance Solution Book pdf epub mobi txt 电子书下载 2024

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Demby, Elayne Robertson

Bloomberg Pr

297

$ 79.10

HRD

9781576601921

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发表于2024-11-11

The RIA's Compliance Solution Book epub 下载 mobi 下载 pdf 下载 txt 电子书下载 2024

The RIA's Compliance Solution Book pdf epub mobi txt 电子书下载 2024

图书描述

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 has caused the Securities and Exchange Commission to tighen 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. This 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. EARN 20 HOURS OF CREDIT TOWARD YOUR CFP BOARD CE REQUIREMENT AS WELL AS PACE RECERTIFICATION CREDIT

The RIA's Compliance Solution Book 下载 mobi epub pdf txt 电子书