The RIA's Compliance Solution Book: Answers for the Critical Questions (repost)
The RIA's Compliance Solution Book: Answers for the Critical Questions by Elayne Robertson Demby
English | 2006-05-01 | ISBN: 1576601927 | 297 pages | PDF | 3,7 MB
English | 2006-05-01 | ISBN: 1576601927 | 297 pages | PDF | 3,7 MB
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.