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    RIA S Compliance Solution Book
    by Elayne Robertson Demby

    🔗 RIA S Compliance Solution Book · Read More 🔗

    • Language: english
    • ISBN: 9781576601921 (1576601927)
    • Author: Elayne Robertson Demby
    • Publisher: John Wiley & Sons
    • Format: hardcover, 297 pages
    • Release date: May 1, 2006

    About The Book

    Registered investment advisers are accustomed to regulatoryscrutiny. But the pressure to understand changing complianceregulations and to meet the requirements they impose has never beenmore intense. A range of scandals and abuses — from thelaundering of terrorist funds to mutual fund tradingshenanigans — has caused the Securities and Exchange Commissionto tighten regulation and step up enforcement. Unfortunately, definitive compliance information — the kind that can saveadvisers precious time and spare them serious trouble — has not beeneasy to find. Until now.

    The RIA’s Compliance Solution Book gathers theinformation needed most and puts it all in one place. Here adviserswill find plain-English translations of the rules that regulatesuch 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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