skip to content
The RIA's compliance solution book : answers for the critical questions Preview this item
ClosePreview this item
Checking...

The RIA's compliance solution book : answers for the critical questions

Author: Elayne Robertson Demby
Publisher: New York : Bloomberg Press, 2006.
Series: Bloomberg Professional.
Edition/Format:   eBook : Document : English : 1st edView all editions and formats
Database:WorldCat
Summary:
"A handbook for registered investment advisers that not only explains how regulations affect their firms, but also provides step by step directions on what they need to do to comply with them"--Provided by publisher.
Rating:

(not yet rated) 0 with reviews - Be the first.

Subjects
More like this

 

Find a copy online

Links to this item

Find a copy in the library

&AllPage.SpinnerRetrieving; Finding libraries that hold this item...

Details

Genre/Form: Electronic books
Additional Physical Format: Print version:
Demby, Elayne Robertson, 1962-
RIA's compliance solution book.
New York : Bloomberg Press, 2006
(DLC) 2006009549
(OCoLC)65204996
Material Type: Document, Internet resource
Document Type: Internet Resource, Computer File
All Authors / Contributors: Elayne Robertson Demby
ISBN: 9781119201359 1119201357 9781576602539 1576602532 9780470883051 0470883057
OCLC Number: 85824735
Notes: Includes index.
Description: 1 online resource (xii, 297 pages).
Contents: Terms and acronyms --
Federal and state laws and other regulations --
RIA registration : what it means, how it's done --
The nuts and bolts of Form ADV --
How to complete Form ADV part 1 --
How to complete Form ADV part 2 --
RIA compliance programs and codes of ethics --
Investment recommendations and fiduciary obligations --
Advisory contracts and fees --
Custody of customer accounts --
Selecting brokers and executing trades --
Personal securities trading and reporting --
Voting client proxies --
Record-keeping requirements --
Advertising and client communications --
Referrals --
ERISA plans --
Soft dollars --
Protecting clients' privacy --
Money laundering --
Supervising employees --
SEC examinations and enforcement actions.
Series Title: Bloomberg Professional.
Responsibility: Elayne Robertson Demby.
More information:

Abstract:

"A handbook for registered investment advisers that not only explains how regulations affect their firms, but also provides step by step directions on what they need to do to comply with them"--Provided by publisher.

Reviews

User-contributed reviews
Retrieving GoodReads reviews...
Retrieving DOGObooks reviews...

Tags

Be the first.
Confirm this request

You may have already requested this item. Please select Ok if you would like to proceed with this request anyway.

Linked Data


Primary Entity

<http://www.worldcat.org/oclc/85824735> # The RIA's compliance solution book : answers for the critical questions
    a schema:CreativeWork, schema:Book, schema:MediaObject ;
    library:oclcnum "85824735" ;
    library:placeOfPublication <http://dbpedia.org/resource/New_York_City> ; # New York
    library:placeOfPublication <http://id.loc.gov/vocabulary/countries/nyu> ;
    schema:about <http://id.loc.gov/authorities/classification/KF1072> ;
    schema:about <http://id.worldcat.org/fast/978170> ; # Investment advisors--Legal status, laws, etc
    schema:about <http://id.worldcat.org/fast/978270> ; # Investments--Law and legislation
    schema:about <http://id.loc.gov/authorities/subjects/sh2008124126> ; # Investments--Law and legislation--United States
    schema:about <http://id.worldcat.org/fast/1204155> ; # United States.
    schema:about <http://dewey.info/class/346.730926/e22/> ;
    schema:about <http://experiment.worldcat.org/entity/work/data/802225222#Topic/law_administrative_law_&_regulatory_practice> ; # LAW--Administrative Law & Regulatory Practice
    schema:about <http://id.worldcat.org/fast/978172> ; # Investment advisors--Licenses
    schema:about <http://id.loc.gov/authorities/subjects/sh2008104882> ; # Investment advisors--Legal status, laws, etc.--United States
    schema:about <http://experiment.worldcat.org/entity/work/data/802225222#Topic/investment_advisors_licenses_united_states> ; # Investment advisors--Licenses--United States
    schema:bookEdition "1st ed." ;
    schema:bookFormat schema:EBook ;
    schema:creator <http://viaf.org/viaf/63431169> ; # Elayne Robertson Demby
    schema:datePublished "2006" ;
    schema:description ""A handbook for registered investment advisers that not only explains how regulations affect their firms, but also provides step by step directions on what they need to do to comply with them"--Provided by publisher."@en ;
    schema:description "Terms and acronyms -- Federal and state laws and other regulations -- RIA registration : what it means, how it's done -- The nuts and bolts of Form ADV -- How to complete Form ADV part 1 -- How to complete Form ADV part 2 -- RIA compliance programs and codes of ethics -- Investment recommendations and fiduciary obligations -- Advisory contracts and fees -- Custody of customer accounts -- Selecting brokers and executing trades -- Personal securities trading and reporting -- Voting client proxies -- Record-keeping requirements -- Advertising and client communications -- Referrals -- ERISA plans -- Soft dollars -- Protecting clients' privacy -- Money laundering -- Supervising employees -- SEC examinations and enforcement actions."@en ;
    schema:exampleOfWork <http://worldcat.org/entity/work/id/802225222> ;
    schema:genre "Electronic books"@en ;
    schema:inLanguage "en" ;
    schema:isPartOf <http://experiment.worldcat.org/entity/work/data/802225222#Series/bloomberg_professional> ; # Bloomberg Professional.
    schema:isSimilarTo <http://www.worldcat.org/oclc/65204996> ;
    schema:name "The RIA's compliance solution book : answers for the critical questions"@en ;
    schema:productID "85824735" ;
    schema:publication <http://www.worldcat.org/title/-/oclc/85824735#PublicationEvent/new_york_bloomberg_press_2006> ;
    schema:publisher <http://experiment.worldcat.org/entity/work/data/802225222#Agent/bloomberg_press> ; # Bloomberg Press
    schema:url <http://onlinelibrary.wiley.com/book/10.1002/9781119201359> ;
    schema:url <http://site.ebrary.com/id/10392950> ;
    schema:url <http://public.eblib.com/choice/publicfullrecord.aspx?p=537329> ;
    schema:url <http://search.ebscohost.com/login.aspx?direct=true&scope=site&db=nlebk&db=nlabk&AN=184412> ;
    schema:url <http://dx.doi.org/10.1002/9781119201359> ;
    schema:url <http://www.books24x7.com/marc.asp?bookid=14930> ;
    schema:url <http://catdir.loc.gov/catdir/toc/ecip0610/2006009549.html> ;
    schema:workExample <http://worldcat.org/isbn/9781576602539> ;
    schema:workExample <http://worldcat.org/isbn/9781119201359> ;
    schema:workExample <http://worldcat.org/isbn/9780470883051> ;
    wdrs:describedby <http://www.worldcat.org/title/-/oclc/85824735> ;
    .


Related Entities

<http://dbpedia.org/resource/New_York_City> # New York
    a schema:Place ;
    schema:name "New York" ;
    .

<http://experiment.worldcat.org/entity/work/data/802225222#Agent/bloomberg_press> # Bloomberg Press
    a bgn:Agent ;
    schema:name "Bloomberg Press" ;
    .

<http://experiment.worldcat.org/entity/work/data/802225222#Series/bloomberg_professional> # Bloomberg Professional.
    a bgn:PublicationSeries ;
    schema:hasPart <http://www.worldcat.org/oclc/85824735> ; # The RIA's compliance solution book : answers for the critical questions
    schema:name "Bloomberg Professional." ;
    schema:name "Bloomberg Professional" ;
    .

<http://experiment.worldcat.org/entity/work/data/802225222#Topic/investment_advisors_licenses_united_states> # Investment advisors--Licenses--United States
    a schema:Intangible ;
    schema:hasPart <http://id.loc.gov/authorities/subjects/sh85067705> ;
    schema:name "Investment advisors--Licenses--United States"@en ;
    .

<http://experiment.worldcat.org/entity/work/data/802225222#Topic/law_administrative_law_&_regulatory_practice> # LAW--Administrative Law & Regulatory Practice
    a schema:Intangible ;
    schema:name "LAW--Administrative Law & Regulatory Practice"@en ;
    .

<http://id.loc.gov/authorities/subjects/sh2008104882> # Investment advisors--Legal status, laws, etc.--United States
    a schema:Intangible ;
    schema:name "Investment advisors--Legal status, laws, etc.--United States"@en ;
    .

<http://id.loc.gov/authorities/subjects/sh2008124126> # Investments--Law and legislation--United States
    a schema:Intangible ;
    schema:name "Investments--Law and legislation--United States"@en ;
    .

<http://id.worldcat.org/fast/1204155> # United States.
    a schema:Place ;
    schema:name "United States." ;
    .

<http://id.worldcat.org/fast/978170> # Investment advisors--Legal status, laws, etc
    a schema:Intangible ;
    schema:name "Investment advisors--Legal status, laws, etc"@en ;
    .

<http://id.worldcat.org/fast/978172> # Investment advisors--Licenses
    a schema:Intangible ;
    schema:name "Investment advisors--Licenses"@en ;
    .

<http://id.worldcat.org/fast/978270> # Investments--Law and legislation
    a schema:Intangible ;
    schema:name "Investments--Law and legislation"@en ;
    .

<http://onlinelibrary.wiley.com/book/10.1002/9781119201359>
    rdfs:comment "URL des Erstveröffentlichers" ;
    .

<http://viaf.org/viaf/63431169> # Elayne Robertson Demby
    a schema:Person ;
    schema:birthDate "1962" ;
    schema:familyName "Demby" ;
    schema:givenName "Elayne Robertson" ;
    schema:name "Elayne Robertson Demby" ;
    .

<http://worldcat.org/isbn/9780470883051>
    a schema:ProductModel ;
    schema:isbn "0470883057" ;
    schema:isbn "9780470883051" ;
    .

<http://worldcat.org/isbn/9781119201359>
    a schema:ProductModel ;
    schema:isbn "1119201357" ;
    schema:isbn "9781119201359" ;
    .

<http://worldcat.org/isbn/9781576602539>
    a schema:ProductModel ;
    schema:isbn "1576602532" ;
    schema:isbn "9781576602539" ;
    .

<http://www.worldcat.org/oclc/65204996>
    a schema:CreativeWork ;
    rdfs:label "RIA's compliance solution book." ;
    schema:description "Print version:" ;
    schema:isSimilarTo <http://www.worldcat.org/oclc/85824735> ; # The RIA's compliance solution book : answers for the critical questions
    .


Content-negotiable representations

Close Window

Please sign in to WorldCat 

Don't have an account? You can easily create a free account.