RIA s Compliance Solution Book Hardcover - 2006 - 1st Edition

From the rear cover

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

The RIA's Compliance Solution Book is a long- overdue compendium for advisers who find themselves all but lost in the maze of regulations and requirements that continually takes new turns.

Media reviews

Citations

• Reference and Research Bk News, 08/01/2006, Page 213