[Library ebook] The RIA's Compliance Solution Book: Answers for the Critical Questions (Bloomberg Financial)
• Elayne Robertson Demby •
#258061 in eBooks 2010-05-20 2010-05-20File Name: B003O2SXT6
2 of 2 people found the following review helpful. It covers pretty much all the basic informationBy 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 are available to the public and you should know most of it already if"Ideal for both small and large practices as a concise refresher fornbsp;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 shelf."- MorningstarAdvisor.com "A great book. It's extremelyRegistered 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 abusesmdash;from the laundering of terrorist funds to mutual fund trading shenanigansmdash;has caused the Securities and Exchange Commission to tighten regulation and step up enforcement. Unfortunately, definitive compliance informationmdash;the kind that can save adviser... [PDF.dn87] The RIA's Compliance Solution Book: Answers for the Critical Questions (Bloomberg Financial) Rating: 4.68 (489 Votes)
The RIA's Compliance Solution Elayne Robertson Demby epub The RIA's Compliance Solution Elayne Robertson Demby audiobook The RIA's Compliance Solution Elayne Robertson Demby review The RIA's Compliance Solution Elayne Robertson Demby summary The RIA's Compliance Solution Elayne Robertson Demby textbooks The RIA's Compliance Solution Elayne Robertson Demby Free
You easily download any file type for your gadget.The RIA's Compliance Solution Book: Answers for the Critical Questions (Bloomberg Financial) | Elayne Robertson Demby.Not only was the story interesting, engaging and relatable, it also teaches lessons.
