02849nam 22006254a 450 991083024750332120170810174503.00-470-88508-41-119-20135-71-282-68977-097866126897720-470-88305-71-57660-253-2(CKB)1000000000470625(EBL)537329(OCoLC)638860349(SSID)ssj0000238082(PQKBManifestationID)12048111(PQKBTitleCode)TC0000238082(PQKBWorkID)10222273(PQKB)11307705(MiAaPQ)EBC537329(EXLCZ)99100000000047062520060320d2006 uy 0engur|n|---|||||txtccrThe RIA's compliance solution book[electronic resource] answers for the critical questions /Elayne Robertson Demby1st ed.New York Bloomberg Press20061 online resource (317 p.)Bloomberg Financial ;v.57Includes index.1-57660-192-7 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."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 publisher.Bloomberg FinancialInvestment advisorsLegal status, laws, etcUnited StatesInvestment advisorsLicensesUnited StatesInvestmentsLaw and legislationUnited StatesInvestment advisorsLegal status, laws, etc.Investment advisorsLicensesInvestmentsLaw and legislation346.73/0926346.730926Demby Elayne Robertson1962-1711100MiAaPQMiAaPQMiAaPQBOOK9910830247503321The RIA's compliance solution book4102191UNINA