The RIA's Compliance Solution Book: Answers for the Critical Questions

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9781576601921: The RIA's Compliance Solution Book: Answers for the Critical Questions
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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

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From the Publisher:

Professional praise includes:

"This book is extremely valuable. If I'd had it when I was setting up my RIA firm, it would have saved me hundreds of dollars in legal fees. Now, it can save me thousands in fees." Jeffrey B. Broadhurst, MBA, CFA, President of Broadhurst Financial Advisors, Inc.

"If someone could define all those murky terms regulators like to use and put them in one place with a clear outlinie of all the regulatory issues advisers must address along with a roadmap for getting all the answers into an ADV, that resource would look a lot like The RIA's Compliance Solution Book. David J. Drucker, President of Drucker Knowledge Systems and co-author of Virtual-Office Tools for a High-Margin Practice

About the Author:

Elayne Robertson Demby, JD, is a nationally recognized journalist. Trained as an attorney, she is sought out for stories that break down complex legal material into simple, understandable English for the layman. Demby has worked in a number of prestigious New York law firms, including Proskauer Rose Goetz & Mendelsohn and Paul, Weiss, Rifkind, Wharton & Garrison. In her work as a journalist, she specializes in business and legal issues such as securities law, tax law, finance, executive compensation, financial planning, human resources, retirement plans, health and welfare plans, corporate governance, nonprofits, collections and credit, and risk management.  

Demby’s work has been published in numerous consumer and trade outlets including the New York Times, WSJ.com, Crain's New York Business, Human Resources Executive, CFO Magazine, Plan Sponsor Magazine, Advisor Today, Collections & Credit Risk magazine, Treasury & Risk Management magazine, Wealth Manager magazine, and World Global Custodian. After receiving her BA in economics from Boston University, magna cum laude, Demby received a JD from Fordham University's School of Law and an LLM in taxation law from New York University School of Law.

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Book Description BLOOMBERG PRESS, United States, 2006. Book. Condition: New. Language: English . Brand New Book ***** Print on Demand *****. 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. Seller Inventory # APC9781576601921

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