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Record Nr. |
UNINA9910830247503321 |
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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 |
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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 directions on what they need to do to comply with them"--Provided by |
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