9781576601921 - the ria's compliance solution book: answers for the critical questions (bloomberg financial) von demby, elayne robertson (8 Ergebnisse)

Zustand: Good. Item in good condition. Textbooks may not include supplemental items i.e. CDs, access codes etc.

Zustand: Good. : Este libro ofrece respuestas a preguntas críticas sobre el cumplimiento normativo para los Asesores de Inversión Registrados (RIA). Cubre temas esenciales de ética empresarial, legislación financiera y asesoramiento en inversiones, proporcionando una guía completa para profesionales del sector financiero en Estados Unidos. EAN: 9781576601921 Tipo: Libros Categoría: Negocios y Economía|Derecho Título: The RIA's Compliance Solution Book Autor: Elayne Robertson Demby Editorial: Bloomberg Press Idioma: en Páginas: 297 Formato: tapa dura.…

Zustand: New. pp. xii + 297.

Zustand: New. In English.

Hardcover. Zustand: Brand New. 368 pages. 9.50x6.50x1.00 inches. In Stock.

Zustand: New. Num Pages: 298 pages, black & white illustrations. BIC Classification: KFFM; KJG; LNP. Category: (P) Professional & Vocational. Dimension: 241 x 162 x 24. Weight in Grams: 726. . 2006. 1st Edition. Hardcover. . . . . Books ship from the US and Ireland.

Zustand: New. &Uumlber den AutorElayne Robertson Demby, JD, is a nationally recognized journalist. Trained as an attorney, she is sought out for stories that break down complex legal material into simple, understandable English for the lay.

Buch. Zustand: Neu. Neuware - 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 Bookgathers 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.…