Author: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 318
Book Description
Guide to Broker-dealer Compliance
Author: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 318
Book Description
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 318
Book Description
Broker-Dealer Compliance
Author: James A. Fanto
Publisher: Edward Elgar Publishing
ISBN: 1800889577
Category : Law
Languages : en
Pages : 223
Book Description
Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years.
Publisher: Edward Elgar Publishing
ISBN: 1800889577
Category : Law
Languages : en
Pages : 223
Book Description
Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years.
Guide to Broker-dealer Compliance
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 272
Book Description
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 272
Book Description
Guide to Broker-dealer Compliance
Author: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 275
Book Description
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 275
Book Description
A Guide to Broker-Dealer Regulation
Author: Steven Lofchie
Publisher:
ISBN: 9780970106711
Category : Brokers
Languages : en
Pages : 808
Book Description
Publisher:
ISBN: 9780970106711
Category : Brokers
Languages : en
Pages : 808
Book Description
Investment Adviser Regulation
Author: Clifford E. Kirsch
Publisher:
ISBN: 9781402407710
Category : Business & Economics
Languages : en
Pages : 0
Book Description
Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.
Publisher:
ISBN: 9781402407710
Category : Business & Economics
Languages : en
Pages : 0
Book Description
Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.
A Broker-dealer Compliance Conference for the Financial Services Industry
Securities Law Compliance
Author: Allan H. Pessin
Publisher: Irwin Professional Publishing
ISBN:
Category : Business & Economics
Languages : en
Pages : 488
Book Description
Publisher: Irwin Professional Publishing
ISBN:
Category : Business & Economics
Languages : en
Pages : 488
Book Description
Broker-dealer and Adviser Regulatory Compliance Forum
Broker-dealer Compliance Conference
Author: Glasser LegalWorks
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 234
Book Description
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 234
Book Description