ISBN: 9781576601921 - The Rias Compliance Solution Book - Answers for the Critical Questions: 57 (bloomberg Financial) (30 results)

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hardcover. Condition: Very Good. Connecting readers with great books since 1972! Used books may not include companion materials, and may have some shelf wear or limited writing. We ship orders daily and Customer Service is our top priority.

Hardcover. Condition: Very Good. Connecting readers with great books since 1972! Used books may not include companion materials, and may have some shelf wear or limited writing. We ship orders daily and Customer Service is our top priority.

Condition: Good. : Este libro ofrece respuestas a preguntas críticas sobre el cumplimiento normativo para los Asesores de Inversión Registrados (RIA). Cubre temas esenciales de ética empresarial, legislación financiera y asesoramiento en inversiones, proporcionando una guía completa para profesionales del sector financiero en Estados Unidos. EAN: 9781576601921 Tipo: Libros Categoría: Negocios y Economía|Derecho Título: The RIA's Compliance Solution Book Autor: Elayne Robertson Demby Editorial: Bloomberg Press Idioma: en Páginas: 297 Formato: tapa dura.…

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Condition: New. pp. xii + 297.

Condition: New. Num Pages: 298 pages, black & white illustrations. BIC Classification: KFFM; KJG; LNP. Category: (P) Professional & Vocational. Dimension: 241 x 162 x 24. Weight in Grams: 726. . 2006. 1st Edition. Hardcover. . . . .

Condition: New. In English.

Condition: New. pp. xii + 297.

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hardcover. Condition: New. In shrink wrap. Looks like an interesting title.

Hardcover. Condition: Brand New. 368 pages. 9.50x6.50x1.00 inches. In Stock.

Condition: New. Num Pages: 298 pages, black & white illustrations. BIC Classification: KFFM; KJG; LNP. Category: (P) Professional & Vocational. Dimension: 241 x 162 x 24. Weight in Grams: 726. . 2006. 1st Edition. Hardcover. . . . . Books ship from the US and Ireland.

Condition: New. &Uumlber den AutorElayne 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 lay.

Buch. Condition: Neu. Neuware - 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 Bookgathers 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.…

Hardback. Condition: New.

Hardcover. Condition: Brand New. 368 pages. 9.50x6.50x1.00 inches. In Stock. This item is printed on demand.

Book. Condition: New. This item is printed on demand. New copy - Usually dispatched within 5-9 working days 752.

Condition: New. PRINT ON DEMAND pp. xii + 297.