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The RIA's Compliance Solution Book

Answers for the Critical Questions

The RIA's Compliance Solution Book( )
Author: Demby, Elayne Robertson
Series title:Bloomberg Financial Ser.
ISBN:978-0-470-88383-9
Publication Date:May 2010
Publisher:John Wiley & Sons, Incorporated
Imprint:Bloomberg Press
Book Format:Digital download
List Price:Contact Supplier contact Contact Supplier contact
Book Description:

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...
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