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

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Demby, Elayne Robertson 作者

Bloomberg Pr

译者

出版日期

297 页数

$ 79.10 价格

HRD

丛书系列

9781576601921 图书编码

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发表于2024-11-23

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

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

The RIA's Compliance Solution Book 在线电子书图书描述

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 在线电子书下载 mobi epub pdf txt 在线电子书下载

想要找书就要到图书目录大全

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