Elayne Robertson Demby

eBook, PDF

The RIA's Compliance Solution Book (eBook, PDF)

Answers for the Critical Questions

Beschreibung

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

Technische Details

• Geräte: PC
• mit Kopierschutz
• Größe: 1.46MB

Barrierefreiheit

• Text-to-Speech

Autor

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, Bloomberg Wealth Manager magazine, Human Resource Executive, CFO magazine, Plansponsor magazine, Advisor Today, Collections & Credit Risk magazine, Treasury & Risk Management magazine, Wealth Manager magazine, and Global Custodian. After receiving her BA in economics from Boston University, magna cum laude, Demby received aJD from Fordham University's School of Law and an LLM in taxation law from New York University School of Law.

Produktdetails

• Verlag: Wiley-Scrivener
• Seitenzahl: 316
• Erscheinungstermin: 24. Mai 2010
• Englisch
• ISBN-13: 9780470883051
• Artikelnr.: 38202474

Rezensionen

"Ideal for both small and large practices as a concise refresherfor many compliance topics you may have forgotten."
- NAPFA Advisor

"As a reference book and a handy source on compliance, thisbook is a worthy addition to every RIA's shelf."
- MorningstarAdvisor.com"A great book. It's extremely valuable to both the experienced andthe soon-to-be adviser. If I'd had it when I was setting up myRIA firm, it would have saved me hundreds of dollars in legal fees.Now, as an experienced adviser, The RIA's Compliance SolutionBook can save me thousands in fees. Demby's book is animportant tool to preventing many compliance problems and headingoff potential noncompliance fines. I learned a lot while readingit. The Q&A format is great and very easy to read. Overall, avery useful, all-in-one guide book"
--Jeff Broadhurst, MBA, CFA
Financial Advisor and President of Broadhurst Financial Advisors,Inc.

"If someone could define all those murky terms regulators like touse and put them in one place with a clear outline of all theregulatory issues advisers must address along with a road map forgetting all the answers into an ADV, that resource would look a lotlike The RIA's Compliance Solution Book."
--David J. Drucker, MBA, CFP
President, Drucker Knowledge Systems