The RIA's Compliance Solution Book

Answers for the Critical Questions

Business & Finance, Finance & Investing, Investments & Securities
Cover of the book The RIA's Compliance Solution Book by Elayne Robertson Demby, Wiley
View on Amazon View on AbeBooks View on Kobo View on B.Depository View on eBay View on Walmart
Author: Elayne Robertson Demby ISBN: 9780470885086
Publisher: Wiley Publication: May 20, 2010
Imprint: Bloomberg Press Language: English
Author: Elayne Robertson Demby
ISBN: 9780470885086
Publisher: Wiley
Publication: May 20, 2010
Imprint: Bloomberg Press
Language: English

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

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:

More books from Wiley

Cover of the book Charity Case by Elayne Robertson Demby
Cover of the book Adobe Dreamweaver CS5 Bible by Elayne Robertson Demby
Cover of the book Application of Nanotechnology in Water Research by Elayne Robertson Demby
Cover of the book Success as a Real Estate Agent For Dummies by Elayne Robertson Demby
Cover of the book Knowledge of Life Today by Elayne Robertson Demby
Cover of the book Multimedia Information Extraction by Elayne Robertson Demby
Cover of the book Influencing Up by Elayne Robertson Demby
Cover of the book Emerging Technologies for Health and Medicine by Elayne Robertson Demby
Cover of the book Neuroanatomy and Neuroscience at a Glance by Elayne Robertson Demby
Cover of the book The Handbook of English for Specific Purposes by Elayne Robertson Demby
Cover of the book Whiteboard Selling by Elayne Robertson Demby
Cover of the book The New Consultant's Quick Start Guide by Elayne Robertson Demby
Cover of the book Deep Value by Elayne Robertson Demby
Cover of the book Ceramics Science and Technology, Volume 1 by Elayne Robertson Demby
Cover of the book Photovoltaic Design and Installation For Dummies by Elayne Robertson Demby
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