Laboratory of Justice: The Supreme Court's 200-Year Struggle to Integrate Science and the LawDIANE Publishing Company, 2007 - Broj stranica: 417 Registered investment advisers are accustomed to regulatory scrutiny. But the pressure to understand changing compliance regulations and to meet the requirements they impose has never been more intense. A range of scandals and abuses-from the laundering of terrorist funds to mutual fund trading shenanigans-has caused the Securities and Exchange Commission to tighten regulation and step up enforcement. Unfortunately, definitive compliance information-the kind that can save advisers precious time and spare them serious trouble--has not been easy to find. Until now. The RIA's Compliance Solution Book gathers the information needed most and puts it all in one place. Here advisers will find plain-English translations of the rules that regulate such issues as: advisory contracts and fees advertising and client communications RIA compliance programs and codes of ethics custody of customer accounts completing, filing, and amending Form ADV selecting brokers and executing trades |
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Laboratory of Justice: The Supreme Court's 200-Year Struggle to Integrate ... David L. Faigman Ograničeni pregled - 2005 |
Laboratory of Justice: The Supreme Court's 200-Year Struggle to Integrate ... David L. Faigman Ograničeni pregled - 2004 |
Laboratory of Justice: The Supreme Court's 200-Year Struggle to Integrate ... David L. Faigman Pregled nije dostupan - 2005 |