The RIA's Compliance Solution Book 在線電子書 pdf 下載 txt下載 epub 下載 mobi 下載 2024

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Demby, Elayne Robertson 作者

Bloomberg Pr

譯者

出版日期

297 頁數

$ 79.10 價格

HRD

叢書系列

9781576601921 圖書編碼

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發表於2024-12-24

The RIA's Compliance Solution Book 在線電子書 epub 下載 mobi 下載 pdf 下載 txt 下載 2024

The RIA's Compliance Solution Book 在線電子書 epub 下載 pdf 下載 mobi 下載 txt 下載 2024

The RIA's Compliance Solution Book 在線電子書 pdf 下載 txt下載 epub 下載 mobi 下載 2024

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The RIA's Compliance Solution Book 在線電子書 pdf 下載 txt下載 epub 下載 mobi 在線電子書下載

The RIA's Compliance Solution Book 在線電子書圖書描述

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 在線電子書下載 mobi epub pdf txt 在線電子書下載

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