The RIA′s Compliance Solution Book – Answers for the Critical Questions
Answers for the Critical Questions
Gebonden Engels 2006 9781576601921Samenvatting
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 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
Specificaties
Lezersrecensies
Inhoudsopgave
<p>1 Terms and Acronyms.<br /> 2 Federal and State Laws and Other Regulations.<br /> 3 RIA Registration: What It Means, How It s Done.<br /> 4 The Nuts and Bolts of Form ADV.<br /> 5 How to Complete Form ADV Part 1.<br /> 6 How to Complete Form ADV Part 2.<br /> 7 RIA Compliance Programs and Codes of Ethics.<br /> 8 Investment Recommendations and Fiduciary Obligations.<br /> 9 Advisory Contracts and Fees.<br /> 10 Custody of Customer Accounts.<br /> 11 Selecting Brokers and Executing Trades.<br /> 12 Personal Securities Trading and Reporting.<br /> 13 Voting Client Proxies.<br /> 14 Record–Keeping Requirements.<br /> 15 Advertising and Client Communications.<br /> 16 Referrals.<br /> 17 ERISA Plans.<br /> 18 Soft Dollars.<br /> 19 Protecting Clients Privacy.<br /> 20 Money Laundering.<br /> 21 Supervising Employees.<br /> 22 SEC Examinations and Enforcement Actions.</p>
<p>Appendix A. Contact Information for the SEC and Securities Regulators.<br /> Appendix B. Form ADV.<br /> Appendix C. Adviser Designation requirements.<br /> <br /> Index.</p>
Anderen die dit kochten, kochten ook
-
Dennis Vink€ 49,95 -
Barbara Majoor€ 64,95
-
Gijs Hiltermann€ 35,00
-
Barbara Majoor€ 74,95
-
Paul Bles€ 47,75
-
Corné Kimenai€ 127,00
Rubrieken
- advisering
- algemeen management
- coaching en trainen
- communicatie en media
- economie
- financieel management
- inkoop en logistiek
- internet en social media
- it-management / ict
- juridisch
- leiderschap
- marketing
- mens en maatschappij
- non-profit
- ondernemen
- organisatiekunde
- personal finance
- personeelsmanagement
- persoonlijke effectiviteit
- projectmanagement
- psychologie
- reclame en verkoop
- strategisch management
- verandermanagement
- werk en loopbaan