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Record Nr. |
UNINA9910146449603321 |
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Autore |
Demby Elayne Robertson <1962-> |
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Titolo |
The RIA's compliance solution book [[electronic resource] ] : answers for the critical questions / / Elayne Robertson Demby |
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Pubbl/distr/stampa |
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New York, : Bloomberg Press, 2006 |
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ISBN |
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0-470-88508-4 |
1-119-20135-7 |
1-282-68977-0 |
9786612689772 |
0-470-88305-7 |
1-57660-253-2 |
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Edizione |
[1st ed.] |
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Descrizione fisica |
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1 online resource (317 p.) |
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Collana |
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Bloomberg Financial ; ; v.57 |
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Disciplina |
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Soggetti |
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Investment advisors - Legal status, laws, etc - United States |
Investment advisors - Licenses - United States |
Investments - Law and legislation - United States |
Electronic books. |
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Lingua di pubblicazione |
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Formato |
Materiale a stampa |
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Livello bibliografico |
Monografia |
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Note generali |
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Nota di contenuto |
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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. |
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Sommario/riassunto |
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"A handbook for registered investment advisers that not only explains how regulations affect their firms, but also provides step by step |
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