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Financial Planners, Investment Advisers & Broker-Dealers

assistance with such things as selecting investments and insurance products, and managing tax and estate planning. This book examines how financial;

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Investor and Industry Perspectives on Investment Advisers and Broker-dealers

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US Regulation for Asset Managers outside the United States

This new edition covers all aspects of US regulation that affect investment management firms, broker dealers and their advisers outside the;

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Regulation of International Finance

of banks, investment firms, broker-dealers, investment managers and advisers * Covers the regulation of exchanges * Deals with the conduct;

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Laws and Regulations in Global Financial Markets

markets. Readers are introduced to international developments concerning rules and regulations impacting investment advisers and broker-dealers;

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Laws and Regulations in Global Financial Markets

markets. Readers are introduced to international developments concerning rules and regulations impacting investment advisers and broker-dealers;

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Everyday Ethics for Financial Advisers

Everyday Ethics for Financial Advisers is a complete guide to the FASEA Financial Planners and Advisers Code of Ethics 2019. It offers a;

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The Law of Securities Regulation

Exchange Act of 1934, the proxy rules, tender offer regulation, and civil liabilities. The book treats broker-dealer regulation, market regulation;

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Fundamentals of Investment

linkage between investment theory and concepts (the 'fundamentals') and the practical application of these concepts to the financial planning and;

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Fundamentals of Investment

linkage between investment theory and concepts (the 'fundamentals') and the practical application of these concepts to the financial planning and;

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Accounting Guide

It is critical to understand the complexities of the specialized accounting and regulatory requirements needed for the broker-dealer;

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Intelligent Commodity Investing

This is the only multi-contributor book on commodity investment offering a breadth of opinions for sophisticated investors. It looks at;

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It's Your Money... What Am I Doing With It?

What do I need to know about my broker and the financial services industry to receive the best value and advice for my investment dollars?;

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Investing in High Yield Trust Deeds After the Real Estate Meltdown

or broker-dealers or mutual funds. In fact, these investments will seldom appear on the radar screen of your financial planner or investment;

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CII Financial Protection

BPP Learning Media's CII Diploma in Regulated Financial Planning materials will help investment advisers to develop a range of skills and;

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Deena Katz on Practice Management

Deena Katz, one of America's most sought after financial advisers, shares her management expertise in this guide to strengthening a;

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Electronic and Algorithmic Trading Technology

Guide is geared toward all levels of technology, investment management and the financial service professionals responsible for developing and;

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Financial Regulation

. financial sector as it exists today, from banks, insurance companies, and broker-dealers, to asset managers, complex financial conglomerates, and;

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CII Pensions and Retirement Planning

BPP Learning Media's CII Diploma in Regulated Financial Planning materials will help investment advisers to develop a range of skills and;

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Money, Economics & Finance

; current debates over exchange rates; recent trends in consumer retail payment services delivered by depository institutions; financial condition;

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The Investment Banking Handbook

, Europe, and Japan. Chapters fall into eight sections: investment banking today, raising capital, transactional activities, specialized financial;

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Essentials of the Dodd-Frank Act

An executive overview of the new Financial Regulations Act This book provides an executive summary of the newly passed Financial;

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Beyond Greed and Fear

investment pitfalls caused by human error. Shefrin points out the common but costly mistakes that money managers, security analysts, financial;

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The New Fiduciary Standard

Financial advisers, trustees, and plan sponsors?in fact, anyone who provides investment advice?may be held to a fiduciary;

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The Broker-Dealer's Liability for Recommendations

is required to make a reasonable investment decision. It is the broker-dealer who steps into the breach. The service he renders as a professional;

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The Common Sense of Money and Investments

A timeless classic on all things financial Books of investment advice have been around forever, but few have stood the test of time as;

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Handbook of International Financial Management

structures and financing, part 3, insurance and compensation trading. Part 4 covers investment appraisal and corporate financial policies, followed;

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