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The investment lawyer : covering legal and regulatory issues of asset management
| The investment lawyer : covering legal and regulatory issues of asset management |
| Pubbl/distr/stampa | Englewood Cliffs, N.J., : Prentice Hall Law & Business, 1994- |
| Descrizione fisica | 1 online resource |
| Disciplina |
346.73/0926
347.306926 |
| Soggetto topico |
Investments - Law and legislation - United States
Asset-liability management - United States Asset-liability management Investments - Law and legislation |
| Soggetto genere / forma | Periodicals. |
| Formato | Materiale a stampa  |
| Livello bibliografico | Periodico |
| Lingua di pubblicazione | eng |
| Record Nr. | UNISA-996213547803316 |
| Englewood Cliffs, N.J., : Prentice Hall Law & Business, 1994- | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. di Salerno | ||
| ||
The investment lawyer : covering legal and regulatory issues of asset management
| The investment lawyer : covering legal and regulatory issues of asset management |
| Pubbl/distr/stampa | Englewood Cliffs, N.J., : Prentice Hall Law & Business, 1994- |
| Descrizione fisica | 1 online resource |
| Disciplina |
346.73/0926
347.306926 |
| Soggetto topico |
Investments - Law and legislation - United States
Asset-liability management - United States Asset-liability management Investments - Law and legislation |
| Soggetto genere / forma | Periodicals. |
| Formato | Materiale a stampa |
| Livello bibliografico | Periodico |
| Lingua di pubblicazione | eng |
| Record Nr. | UNINA-9910339739303321 |
| Englewood Cliffs, N.J., : Prentice Hall Law & Business, 1994- | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
The RIA's compliance solution book [[electronic resource] ] : answers for the critical questions / / Elayne Robertson Demby
| The RIA's compliance solution book [[electronic resource] ] : answers for the critical questions / / Elayne Robertson Demby |
| Autore | Demby Elayne Robertson <1962-> |
| Edizione | [1st ed.] |
| Pubbl/distr/stampa | New York, : Bloomberg Press, 2006 |
| Descrizione fisica | 1 online resource (317 p.) |
| Disciplina |
346.73/0926
346.730926 |
| Collana | Bloomberg Financial |
| Soggetto topico |
Investment advisors - Legal status, laws, etc - United States
Investment advisors - Licenses - United States Investments - Law and legislation - United States |
| Soggetto genere / forma | Electronic books. |
| ISBN |
0-470-88508-4
1-119-20135-7 1-282-68977-0 9786612689772 0-470-88305-7 1-57660-253-2 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | 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. |
| Record Nr. | UNINA-9910146449603321 |
Demby Elayne Robertson <1962->
|
||
| New York, : Bloomberg Press, 2006 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
The RIA's compliance solution book [[electronic resource] ] : answers for the critical questions / / Elayne Robertson Demby
| The RIA's compliance solution book [[electronic resource] ] : answers for the critical questions / / Elayne Robertson Demby |
| Autore | Demby Elayne Robertson <1962-> |
| Edizione | [1st ed.] |
| Pubbl/distr/stampa | New York, : Bloomberg Press, 2006 |
| Descrizione fisica | 1 online resource (317 p.) |
| Disciplina |
346.73/0926
346.730926 |
| Collana | Bloomberg Financial |
| Soggetto topico |
Investment advisors - Legal status, laws, etc - United States
Investment advisors - Licenses - United States Investments - Law and legislation - United States |
| ISBN |
0-470-88508-4
1-119-20135-7 1-282-68977-0 9786612689772 0-470-88305-7 1-57660-253-2 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | 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. |
| Record Nr. | UNINA-9910830247503321 |
|
Demby Elayne Robertson <1962->
|
||
| New York, : Bloomberg Press, 2006 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
The RIA's compliance solution book : answers for the critical questions / / Elayne Robertson Demby
| The RIA's compliance solution book : answers for the critical questions / / Elayne Robertson Demby |
| Autore | Demby Elayne Robertson <1962-> |
| Edizione | [1st ed.] |
| Pubbl/distr/stampa | New York, : Bloomberg Press, 2006 |
| Descrizione fisica | 1 online resource (317 p.) |
| Disciplina | 346.73/0926 |
| Collana | Bloomberg Financial |
| Soggetto topico |
Investment advisors - Legal status, laws, etc - United States
Investment advisors - Licenses - United States Investments - Law and legislation - United States |
| ISBN |
9786612689772
9780470885086 0470885084 9781119201359 1119201357 9781282689770 1282689770 9780470883051 0470883057 9781576602539 1576602532 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | 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. |
| Record Nr. | UNINA-9911019601303321 |
|
Demby Elayne Robertson <1962->
|
||
| New York, : Bloomberg Press, 2006 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||