The Investment Advisor's Compliance Guide (Advisor's Guide) - Softcover

Les Abromovitz

Softcover

ISBN 10: 193636283X ISBN 13: 9781936362837

Publisher: National Underwriter Company, 2012

Synopsis

As the SEC and state securities regulators ramp up their regulatory supervision, investment advisers need to know what to do stay in compliance.

Simplify complex compliance activities, save yourself worry, and avoid severe sanctions with the all new Investment Advisor s Compliance Guide.

The Investment Advisor s Compliance Guide provides guidance on all of today s compliance issues, including:

• Rules affecting the use of social media


• Switching from SEC registration to state registration


• The Form ADV Disclosure Brochure


• Specific changes mandated by Dodd-Frank


• SEC whistleblower activities


• And much more

About this title

About the Author:

The expert author, Les Abromovitz, is an attorney with extensive experience in handling compliance consulting assignments for Registered Investment Advisers (RIAs). In The Investment Advisor s Compliance Guide, he has created a completely up-to-date, reader-friendly, go-to-resource for investment advisors, vital for veterans but also a powerful training tool for those new to the field.

About this edition

• Publisher: National Underwriter Company
• Publication date: 2012
• ISBN 10: 193636283X
• ISBN 13: 9781936362837
• Binding: Paperback
• Edition number: 1
• Number of pages: 267