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

☆☆☆☆☆
简体网页||繁体网页

Demby, Elayne Robertson

Bloomberg Pr

297

$ 79.10

HRD

9781576601921

图书标签:

喜欢 The RIA's Compliance Solution Book 的读者还喜欢

下载链接在页面底部

点击这里下载

facebook linkedin mastodon messenger pinterest reddit telegram twitter viber vkontakte whatsapp 复制链接

想要找书就要到小哈图书下载中心

qciss.net

立刻按 ctrl+D收藏本页

你会得到大惊喜!!

发表于2024-11-23

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

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

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 下载 mobi epub pdf txt 电子书