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Record Nr. |
UNINA9911019601303321 |
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Autore |
Demby Elayne Robertson <1962-> |
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Titolo |
The RIA's compliance solution book : 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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9786612689772 |
9780470885086 |
0470885084 |
9781119201359 |
1119201357 |
9781282689770 |
1282689770 |
9780470883051 |
0470883057 |
9781576602539 |
1576602532 |
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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 -- |
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