{"product_id":"the-rias-compliance-solution-book-answers-for-the-critical-questions-hardcover","title":"The Ria's Compliance Solution Book: Answers for the Critical Questions - Hardcover","description":"\u003cp\u003eby \u003cb\u003eElayne Robertson Demby\u003c\/b\u003e (Author)\u003c\/p\u003e\u003cp\u003eRegistered 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.\u003cbr\u003e \u003cbr\u003e \u003ci\u003eThe RIA's Compliance Solution Book\u003c\/i\u003e 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: \u003c\/p\u003e\u003cul\u003e \u003cli\u003eadvisory contracts and fees\u003c\/li\u003e \u003cli\u003eadvertising and client communications\u003c\/li\u003e \u003cli\u003eRIA compliance programs and codes of ethics\u003c\/li\u003e \u003cli\u003ecustody of customer accounts\u003c\/li\u003e \u003cli\u003ecompleting, filing, and amending Form ADV\u003c\/li\u003e \u003cli\u003eselecting brokers and executing trades\u003c\/li\u003e \u003c\/ul\u003e\u003ch3\u003eFront Jacket\u003c\/h3\u003e\u003cp\u003e\u003c\/p\u003e\u003cp\u003eRegistered 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.\u003c\/p\u003e \u003cp\u003e\u003ci\u003eThe RIA's Compliance\u003c\/i\u003e 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: \u003c\/p\u003e\u003cul\u003e\n\u003cli\u003eADVISORY CONTRACTS AND FEES\u003c\/li\u003e \u003cli\u003eADVERTISING AND CLIENT COMMUNICATIONS\u003c\/li\u003e \u003cli\u003eRIA COMPLIANCE PROGRAMS AND CODES OF ETHICS\u003c\/li\u003e \u003cli\u003eCUSTODY OF CUSTOMER ACCOUNTS\u003c\/li\u003e \u003cli\u003eCOMPLETING, FILING, AND AMENDING FORM ADV\u003c\/li\u003e \u003cli\u003eSELECTING BROKERS AND EXECUTING TRADES\u003c\/li\u003e\n\u003c\/ul\u003e \u003cp\u003e\u003ci\u003eThe RIA's Compliance Solution Book\u003c\/i\u003e 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.\u003c\/p\u003e\u003ch3\u003eAuthor Biography\u003c\/h3\u003e\u003cp\u003e\u003c\/p\u003e\u003cp\u003e\u003cb\u003eElayne Robertson Demby, JD, \u003c\/b\u003e 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 \u0026amp; Mendelsohn and Paul, Weiss, Rifkind, Wharton \u0026amp; Garrison.\u003c\/p\u003e \u003cp\u003eIn 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 \u003ci\u003eNew York Times, \u003c\/i\u003e WSJ.com, \u003ci\u003eCrain's New York Business, Bloomberg Wealth Manager\u003c\/i\u003e magazine, \u003ci\u003eHuman Resource Executive, CFO\u003c\/i\u003e magazine, \u003ci\u003ePlansponsor\u003c\/i\u003e magazine, \u003ci\u003eAdvisor Today, Collections \u0026amp; Credit Risk\u003c\/i\u003e magazine, \u003ci\u003eTreasury \u0026amp; Risk Management\u003c\/i\u003e magazine, \u003ci\u003eWealth Manager\u003c\/i\u003e magazine, and \u003ci\u003eGlobal Custodian.\u003c\/i\u003e 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.\u003c\/p\u003e\u003cdiv\u003e\n\u003cstrong\u003eNumber of Pages:\u003c\/strong\u003e 316\u003c\/div\u003e\u003cdiv\u003e\n\u003cstrong\u003eDimensions:\u003c\/strong\u003e 1.1 x 9.4 x 6.4 IN\u003c\/div\u003e\u003cdiv\u003e\n\u003cstrong\u003ePublication Date:\u003c\/strong\u003e May 01, 2006\u003c\/div\u003e","brand":"Books by splitShops","offers":[{"title":"Default Title","offer_id":51751127744800,"sku":"9781576601921","price":80.0,"currency_code":"USD","in_stock":true}],"thumbnail_url":"\/\/cdn.shopify.com\/s\/files\/1\/0974\/9764\/5344\/files\/f27d694dae3b15db7b8415f73798d4a9.webp?v=1779965059","url":"https:\/\/ebocreations.com\/products\/the-rias-compliance-solution-book-answers-for-the-critical-questions-hardcover","provider":"The E-Book Oasis LLC","version":"1.0","type":"link"}