[PDF.51mr] The RIA's Compliance Solution Book: Answers for the Critical Questions (Bloomberg Financial)
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The RIA's Compliance Solution Book: Answers for the Critical Questions (Bloomberg Financial)
Elayne Robertson Demby
[PDF.tk15] The RIA's Compliance Solution Book: Answers for the Critical Questions (Bloomberg Financial)
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| #1406563 in eBooks | 2010-05-20 | 2010-05-20 | File type: PDF||2 of 2 people found the following review helpful.| It covers pretty much all the basic information|By Kyle T.|I bought this about 5 years ago wanted to be an investment advisor (IA) or setting one up my own. It covers pretty much all the basic information. But after working in the field for about 3 years, I must say this book covers pretty much all the standard compliance pitfall that a RIA might step into. But this information||"Ideal for both small and large practices as a concise refresher for many compliance topics you may have forgotten."|- NAPFA Advisor||"As a reference book and a handy source on compliance, this book is a worthy addition to every RIA's she
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...
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