[Ebook pdf] The RIA's Compliance Solution Book: Answers for the Critical Questions (Bloomberg Financial)






 | #1280503 in eBooks |  2010-05-20 |  2010-05-20 | File Name: B003O2SXT6

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—th...


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