The Investment Advisor's Compliance Guide

The Investment Advisor's Compliance Guide

for $ 63.02

63.02 The Investment Advisor's Compliance Guide http://covers.feedbooks.net/item/218531.jpg?t=1404245025 http://www.feedbooks.com/item/218531/the-investment-advisor-s-compliance-guide?utm_medium=uwishlist&utm_source=amazon

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

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

The Investment Advisor s Compliance Guide provides guidance on all of today s compliance issues, including:

  • Rules affecting the use of social media
  • Switching from SEC registration to… (more)

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Book Details  


Publisher: The National Underwriter Company (March 15, 2012)

Format: EPUB

File size: 5 MB

Protection: DRM

Language: English


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