书目详细信息
： The RIA's compliance solution book :
书目信息 机读格式(MARC)
| ISBN： | 9781576601921 (hbk.) |
|---|---|
| ISBN： | 1576601927 (hbk.) |
| 编目源： | DLC DLC YDX BAKER DLC CIBTC |
| 地理区域代码： | n-us--- |
| 个人名称： | Demby, Elayne Robertson,1962- |
| 题名： | The RIA's compliance solution book : answers for the critical questions / Elayne Robertson Demby. |
| 索书号： | D971.265/D375E |
| 出版发行项： | New York : Bloomberg Press, 2006. |
| 载体形态： | xii, [1], 297 p. ; 25 cm. |
| 书目附注： | Includes bibliographical references and index. |
| 格式化内容附注： | Terms and acronyms -- Federal and state laws and other regulations -- RIA registration : what it means, how it's done -- The nuts and bolts of Form ADV -- How to complete Form ADV part 1 -- How to complete Form ADV part 2 -- RIA compliance programs and codes of ethics -- Investment recommendations and fiduciary obligations -- Advisory contracts and fees -- Custody of customer accounts -- Selecting brokers and executing trades -- Personal securities trading and reporting -- Voting client proxies -- Record-keeping requirements -- Advertising and client communications -- Referrals -- ERISA plans -- Soft dollars -- Protecting clients' privacy -- Money laundering -- Supervising employees -- SEC examinations and enforcement actions. |