The RIA's Compliance Solution Book: Answers for the Critical Questions

The RIA's Compliance Solution Book: Answers for the Critical Questions

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by Elayne Robertson Demby, Douglas S. Rogers
     
 

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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

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Overview

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

Editorial Reviews

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

"As a reference book and a handy source on compliance, this book is a worthy addition to every RIA's shelf."
- MorningstarAdvisor.com

Product Details

ISBN-13:
9781576601921
Publisher:
Wiley
Publication date:
05/01/2006
Series:
Bloomberg Financial Series, #57
Pages:
297
Product dimensions:
6.14(w) x 9.21(h) x 0.75(d)

What People are saying about this

From the Publisher
"A great book. It's extremely valuable to both the experienced and the soon-to-be adviser. If I'd had it when I was setting up my RIA firm, it would have saved me hundreds of dollars in legal fees. Now, as an experienced adviser, The RIA's Compliance Solution Book can save me thousands in fees. Demby's book is an important tool to preventing many compliance problems and heading off potential noncompliance fines. I learned a lot while reading it. The Q&A format is great and very easy to read. Overall, a very 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 to use and put them in one place with a clear outline of all the regulatory issues advisers must address along with a road map for getting all the answers into an ADV, that resource would look a lot like The RIA's Compliance Solution Book."
David J. Drucker, MBA, CFP
President, Drucker Knowledge Systems

Meet the Author

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.

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RIA's Compliance Solution Book: Answers for the Critical Questions 4 out of 5 based on 0 ratings. 2 reviews.
Anonymous More than 1 year ago
Guest More than 1 year ago
The costs of non-compliance in today's environment can be staggering. The complexity and myriad of regulations in the securities industry provides enormous challenges for anyone in the financial advisory profession. Ms. Demby's book is THE go-to book to make sure that you are in compliance with and understand the regulatory requirements.