The Investment Advisor’s Compliance Guide (Advisor’s Guide)

Amazon.com Price: $249.53 (as of 12/05/2019 17:06 PST- Details)

Categories: Books, Business and Finance, Business and Money, Insurance, Life, New, Used and Rental Textbooks, Specialty Boutique, Subjects

Description
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Description

As the SEC and state securities regulators ramp up their regulatory supervision, investment advisers wish to know what to do keep in compliance.

Simplify complex compliance activities, save yourself worry, and keep away from severe sanctions with the all new Investment Advisor s Compliance Guide.

The Investment Advisor s Compliance Guide supplies steerage on all of as of late s compliance problems, together with:

Rules affecting the usage of social media

Switching from SEC registration to state registration

The Shape ADV Disclosure Brochure

Specific changes mandated by Dodd-Frank

SEC whistleblower activities

And much more

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The Investment Advisor’s Compliance Guide (Advisor’s Guide)

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