The RIA's Compliance Solution Book


Book Description

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, definitive compliance information—the kind that can save advisers precious time and spare them serious trouble--has not been easy to find. Until now. The RIA's Compliance Solution Book gathers the information needed most and puts it all in one place. Here advisers will find plain-English translations of the rules that regulate such issues as: advisory contracts and fees advertising and client communications RIA compliance programs and codes of ethics custody of customer accounts completing, filing, and amending Form ADV selecting brokers and executing trades




Final FRCR Part A Modules 4-6 Single Best Answer MCQS


Book Description

Single best answer (SBA) questions have been introduced into the FRCR Part 2A examination of the Royal College of Radiologists in the UK for the first time. This book of 600 SBA questions and explanatory answers has been written to aid students preparing for the exam by current trainees in clinical radiology, coordinated through The Society of Radiologists in Training (SRT). Questions are grouped by topic and each topic is split into three papers of 70 questions, with explanations separated into chapters to enable readers to either attempt a whole mock exam paper or to browse question by question. The book is a bridge between a pure revision aid and a reference text, including a bibliography of useful references for further information. Candidates for other professional exams in Radiology will find the text useful, as will and those from other specialties wishing to explore the radiological aspects of their syllabus in greater depth. This is a companion volume to Final FRCR Part A Modules 4-6 Single Best Answer MCQs by the same team.




Brass World


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CIMA E1


Book Description

The Enterprise Operations Practice & Revision Kit allows you to apply your knowledge by putting theory in to practice. It contains two complete mock exams, exam standard test questions and covers all the main syllabus areas including global business environment, information systems, operations management, marketing and managing human capital and provides plenty of advice on how to approach each. Through practice, you are equipped with the best techniques to face the exam and earn the maximum number of marks.







Journal of the American Medical Association


Book Description

Includes proceedings of the association, papers read at the annual sessions, and lists of current medical literature.