Name: The Financial Advisor's Guide to Regulatory Investigations: What every Financial Advisor Needs to Know About Regulatory Examinations and Enforcement A (en Inglés)
Price: 34760.00 CLP
Availability: InStock
Author: Beck, Joel R.
ISBN: 9781719212410

portada The Financial Advisor's Guide to Regulatory Investigations: What every Financial Advisor Needs to Know About Regulatory Examinations and Enforcement A (en Inglés)

Formato

Libro Físico

Autor

Joel R. Beck

Editorial

Createspace Independent Publishing Platform

Idioma

Inglés

N° páginas

Encuadernación

Tapa Blanda

Dimensiones

22.9 x 15.2 x 0.5 cm

Peso

0.13 kg.

ISBN13

9781719212410

Categorías

Derecho mercantil, de sociedades y de la competencia
Derecho mercantil financiero

The Financial Advisor's Guide to Regulatory Investigations: What every Financial Advisor Needs to Know About Regulatory Examinations and Enforcement A (en Inglés)

Joel R. Beck (Autor) · Createspace Independent Publishing Platform · Tapa Blanda

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$ 34.760

$ 48.280

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Envío normal

Origen: Estados Unidos (Costos de importación incluídos en el precio)

Se enviará desde nuestra bodega entre el Miércoles 17 de Julio y el Miércoles 24 de Julio.

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Reseña del libro "The Financial Advisor's Guide to Regulatory Investigations: What every Financial Advisor Needs to Know About Regulatory Examinations and Enforcement A (en Inglés)"

Financial advisors facing a regulatory investigation or enforcement action need to understand that their career might be on the line. Staying ignorant about the process and their options is not the best strategy. With this book, attorney Joel Beck arms financial advisors with: - a solid grasp on the basic investigative processes used by regulators, - identification of some pitfalls that might arise in investigations, - knowledge of how a regulatory action might otherwise impact the advisor's career and career options, and - an understanding of common sanctions that might be imposed in an enforcement action. In this detailed and informative book, Joel shares his knowledge gained through a more than 20 year career in financial markets regulation to aid financial advisors facing a regulatory investigation or enforcement action.