By Les Abromovitz
As the SEC and country securities regulators ramp up their regulatory supervision, funding advisers want to know what to do remain in compliance.
Simplify advanced compliance actions, store your self fear, and steer clear of serious sanctions with the all new Investment consultant s Compliance Guide.
The funding consultant s Compliance consultant offers advice on all of at the present time s compliance concerns, including:
- Rules affecting using social media
- Switching from SEC registration to kingdom registration
- The shape ADV Disclosure Brochure
- Specific adjustments mandated by way of Dodd-Frank
- SEC whistleblower activities
- And a lot more
The professional writer, Les Abromovitz, is an legal professional with vast event in dealing with compliance consulting assignments for Registered funding Advisers (RIAs). In The funding Advisor’s Compliance Guide, he has created a totally up to date, reader-friendly, go-to-resource for funding advisors, important for veterans but additionally a robust education software for these new to the field.
Read or Download The Investment Advisor’s Compliance Guide (Advisor's Guide) PDF
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The Investment Advisor’s Compliance Guide (Advisor's Guide) by Les Abromovitz