Example: bankruptcy
Investment adviser compliance manual and written supervisory
Found 1 free book(s)Registered Investment Adviser (RIA) Procedures Manual
www.tavagency.comJan 24, 2019 · investment adviser. • “investment adviser” is an abbreviated form of “registered investment adviser.” To avoid confusion, these procedures will use the term “investment adviser” to refer only to a legal entity, and not to individuals who are investment adviser representatives.