RIA's Compliance Solution Book Answers for the Critical Questions

ISBN-10: 1576601927

ISBN-13: 9781576601921

Edition: 2006

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Description:

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 has caused the Securities and Exchange Commission to tighen 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. This 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. EARN 20 HOURS OF CREDIT TOWARD YOUR CFP BOARD CE REQUIREMENT AS WELL AS PACE RECERTIFICATION CREDIT
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Book details

List price: $73.95
Copyright year: 2006
Publisher: John Wiley & Sons, Incorporated
Publication date: 5/1/2006
Binding: Hardcover
Pages: 297
Size: 6.50" wide x 9.50" long x 1.00" tall
Weight: 1.584
Language: English

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.

Acknowledgments
Introduction
Terms and Acronyms
Federal and State Laws and Other Regulations
RIA Registration: What It Means, How It's Done
The Nuts and Bolts of Form ADV
How to Complete Form ADV Part 1
How to Complete Form ADV Part 2
RIA Compliance Programs and Codes of Ethics
Investment Recommendations and Fiduciary Obligations
Advisory Contracts and Fees
Custody of Customer Accounts
Selecting Brokers and Executing Trades
Personal Securities Trading and Reporting
Voting Client Proxies
Record-Keeping Requirements
Advertising and Client Communications
Referrals
ERISA Plans
Soft Dollars
Protecting Clients' Privacy
Money Laundering
Supervising Employees
SEC Examinations and Enforcement Actions
Contact Information for the SEC and Securities Regulators
Form ADV
Adviser Designation Requirements
Continuing Education Exam for CFP Continuing Education Credit and PACE Recertification Credit
Index
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