The RIA's Compliance Solution Book: Answers for the Critical Questions - Couverture rigide

Demby, Elayne Robertson

Couverture rigide

ISBN 10 : 1576601927 ISBN 13 : 9781576601921

Editeur : Bloomberg Press, 2006

Synopsis

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 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

A propos du livre

À propos de l'auteur

Elayne 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 layman. Demby has worked in a number of prestigious New York law firms, including Proskauer Rose Goetz & Mendelsohn and Paul, Weiss, Rifkind, Wharton & Garrison.

In her work as a journalist, she specializes in business and legal issues such as securities law, tax law, finance, executive compensation, financial planning, human resources, retirement plans, health and welfare plans, corporate governance, nonprofits, collections and credit, and risk management. Demby's work has been published in numerous consumer and trade outlets including the New York Times, WSJ.com, Crain's New York Business, Bloomberg Wealth Manager magazine, Human Resource Executive, CFO magazine, Plansponsor magazine, Advisor Today, Collections & Credit Risk magazine, Treasury & Risk Management magazine, Wealth Manager magazine, and Global Custodian. After receiving her BA in economics from Boston University, magna cum laude, Demby received aJD from Fordham University's School of Law and an LLM in taxation law from New York University School of Law.

Détails de l'édition

• Éditeur: Bloomberg Press
• Date d'édition: 2006
• Langue: anglais
• ISBN 10: 1576601927
• ISBN 13: 9781576601921
• Reliure: Relié
• Numéro d'édition: 1
• Nombre de pages: 316
• Coordonnées du fabricant: non disponible
• Personne responsable: GPSR Kontakt; gpsr@libri.de; ; Europaallee 1; Bad Hersfeld; 36244; Allemagne