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The Ria's Compliance Solution Book: Answers for the Critical Questions - Hardcover
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The Ria's Compliance Solution Book: Answers for the Critical Questions - Hardcover
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The Ria's Compliance Solution Book: Answers for the Critical Questions - Hardcoverby Elayne Robertson Demby (Author) 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,
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The Ria's Compliance Solution Book: Answers for the Critical Questions - Hardcover
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