The Investment Advisor's Compliance Guide (Advisor's Guide)
Product Description
Condition - Very Good
The item shows wear from consistent use but remains in good condition. It may arrive with damaged packaging or be repackaged.
The Investment Advisor's Compliance Guide (Advisor's Guide)
As the SEC and state securities regulators ramp up their regulatory supervision, investment advisers need to know what to do stay in compliance.
Simplify complex compliance activities, save yourself worry, and avoid severe sanctions with the all new Investment Advisor s Compliance Guide.
The Investment Advisor s Compliance Guide provides guidance on all of today s compliance issues, including:
- Rules affecting the use of social media
- Switching from SEC registration to state registration
- The Form ADV Disclosure Brochure
- Specific changes mandated by Dodd-Frank
- SEC whistleblower activities
- And much more
Technical Specifications
You might also like
Investment Adviser Regulation in a Nutshell
The RIA's Compliance Solution Book: Answers for the Critical Questions
Red Flags: Recognize and eliminate the risks in your RIA firm's Disaster Recovery, IT Compliance, and Cyber Security processes to safeguard your reputation and client trust.
Examples & Explanations: Securities Regulation, Sixth Edition
The Ultimate Guide to the Advisers Act: A Practitioner's Guide (Practical Guide Series) (Volume 1)
Growing within the Lines: The Investment Adviser's Advertising and Marketing Compliance Guide