The Investment Advisor’s Compliance Guide, 2nd Edition

Business & Finance, Industries & Professions, Insurance, Finance & Investing, Investments & Securities
Cover of the book The Investment Advisor’s Compliance Guide, 2nd Edition by Les Abromovitz, The National Underwriter Company
View on Amazon View on AbeBooks View on Kobo View on B.Depository View on eBay View on Walmart
Author: Les Abromovitz ISBN: 9781941627945
Publisher: The National Underwriter Company Publication: February 17, 2017
Imprint: The National Underwriter Company Language: English
Author: Les Abromovitz
ISBN: 9781941627945
Publisher: The National Underwriter Company
Publication: February 17, 2017
Imprint: The National Underwriter Company
Language: English

Given the current activities of SEC and state securities regulators, as well as the changing business and communication landscapes, investment advisors today must keep current with developments affecting compliance at all levels and in all jurisdictions. The Investment Advisor’s Compliance Guide, 2nd Edition delivers a concise yet comprehensive explanation of the rules and how they affect the work you do on a daily basis—no matter where you’re registered. The completely enhanced and updated Investment Advisor’s Compliance Guide, 2nd Edition, provides highly practical guidance covering all of today’s compliance issues, including: •The DOL’s new fiduciary rule •RIA advertising, including the use of client testimonials, credentials, and performance results •The use of today’s top social media platforms •Client communications, including disclosures •Recent ethical decisions Designed to go far beyond basic compliance rules, The Investment Advisor’s Compliance Guide, 2nd Edition, will also help advisors avoid compliance issues, deal with client complaints, and grow their business with the confidence that their actions are well suited to withstand the strictest scrutiny from clients and regulators alike. The expert author, Les Abromovitz, J.D., has extensive experience handling compliance consulting assignments for Registered Investment Advisers (RIAs). In The Investment Advisor’s Compliance Guide, 2nd Edition, 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. .

View on Amazon View on AbeBooks View on Kobo View on B.Depository View on eBay View on Walmart

Given the current activities of SEC and state securities regulators, as well as the changing business and communication landscapes, investment advisors today must keep current with developments affecting compliance at all levels and in all jurisdictions. The Investment Advisor’s Compliance Guide, 2nd Edition delivers a concise yet comprehensive explanation of the rules and how they affect the work you do on a daily basis—no matter where you’re registered. The completely enhanced and updated Investment Advisor’s Compliance Guide, 2nd Edition, provides highly practical guidance covering all of today’s compliance issues, including: •The DOL’s new fiduciary rule •RIA advertising, including the use of client testimonials, credentials, and performance results •The use of today’s top social media platforms •Client communications, including disclosures •Recent ethical decisions Designed to go far beyond basic compliance rules, The Investment Advisor’s Compliance Guide, 2nd Edition, will also help advisors avoid compliance issues, deal with client complaints, and grow their business with the confidence that their actions are well suited to withstand the strictest scrutiny from clients and regulators alike. The expert author, Les Abromovitz, J.D., has extensive experience handling compliance consulting assignments for Registered Investment Advisers (RIAs). In The Investment Advisor’s Compliance Guide, 2nd Edition, 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. .

More books from The National Underwriter Company

Cover of the book Tools & Techniques of Life Insurance Planning, 7th Edition by Les Abromovitz
Cover of the book Target Market Series: Contractors by Les Abromovitz
Cover of the book Tools & Techniques of Practice Management by Les Abromovitz
Cover of the book The Tools & Techniques of Trust Planning by Les Abromovitz
Cover of the book Problem Issues in CGL by Les Abromovitz
Cover of the book The Social Advisor by Les Abromovitz
Cover of the book Personal Lines Endorsements Coverage Guide by Les Abromovitz
Cover of the book Life & Health Sales Essentials Series by Les Abromovitz
Cover of the book 2015 ERISA Facts by Les Abromovitz
Cover of the book Commercial General Liability Coverage Guide by Les Abromovitz
Cover of the book Personal Lines Unlocked: The Key to Personal Lines Underwriting by Les Abromovitz
Cover of the book The Tools & Techniques of Life Insurance Planning, 6th edition by Les Abromovitz
Cover of the book Insuring to Value: Meeting a Critical Need by Les Abromovitz
Cover of the book The Tools & Techniques of Income Tax Planning, 5th Edition by Les Abromovitz
Cover of the book The Tools & Techniques of Charitable Planning, 3rd Edition by Les Abromovitz
We use our own "cookies" and third party cookies to improve services and to see statistical information. By using this website, you agree to our Privacy Policy