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The Investment Advisor’s Compliance Guide (Advisor's Guide)

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The Investment Advisor’s Compliance Guide (Advisor's Guide)
As the SEC and state securities regulators ramp up their regulatory supervision, investment advisers need to know what to do stay in compliance.

Simplify complex compliance activities, save yourself worry, and avoid severe sanctions with the all new Investment Advisor s Compliance Guide.

The Investment Advisor s Compliance Guide provides guidance on all of today s compliance issues, including:
- Rules affecting the use of social media
- Switching from SEC registration to state registration
- The Form ADV Disclosure Brochure
- Specific changes mandated by Dodd-Frank
- SEC whistleblower activities
- And much more
The expert author, Les Abromovitz, is an attorney with extensive experience in handling compliance consulting assignments for Registered Investment Advisers (RIAs). In The Investment Advisorâ€™s Compliance Guide, he has created a completely up-to-date, reader-friendly, go-to-resource for investment advisors, vital for veterans but also a powerful training tool for those new to the field.

Country	USA
Author	Les Abromovitz
Binding	Kindle Edition
Edition	1
EISBN	9781938130014
Format	Kindle eBook
Label	The National Underwriter Company
Manufacturer	The National Underwriter Company
NumberOfPages	267
PublicationDate	2012-03-15
Publisher	The National Underwriter Company
ReleaseDate	2012-03-15
Studio	The National Underwriter Company

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