Beschreibung

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 abusesfrom the laundering of terrorist funds to mutual fund trading shenaniganshas caused the Securities and Exchange Commission to tighten regulation and step up enforcement. Unfortunately, definitive compliance informationthe 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

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