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

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发表于2024-11-29

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

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出版者:Bloomberg Pr

作者:Demby, Elayne Robertson

出品人:

页数:297

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出版时间:

价格:$ 79.10

装帧:HRD

isbn号码:9781576601921

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The RIA's Compliance Solution Book 2024 pdf epub mobi 电子书图书描述

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 2024 pdf epub mobi 电子书

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