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RIA s Compliance Solution Book
Hardcover
Series: Bloomberg Financial, Book 57
Publisher Price: $80.00
ISBN13: 9781576601921
Publisher: John Wiley & Sons
Published: May 1 2006
Pages: 316
Weight: 1.30
Height: 1.10 Width: 6.40 Depth: 9.40
Language: English
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
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