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

Registered investment advisers are accustomed to regulatoryscrutiny. But the pressure to understand changing complianceregulations and to meet the requirements they impose has never beenmore intense. A range of scandals and abuses—from thelaundering of terrorist funds to mutual fund tradingshenanigans—has caused the Securities and Exchange Commissionto tighten regulation and step up enforcement. Unfortunately,definitive compliance information—the kind that can saveadvisers precious time and spare them serious trouble--has not beeneasy to find. Until now.

The RIA's Compliance Solution Book gathers theinformation needed most and puts it all in one place. Here adviserswill find plain-English translations of the rules that regulatesuch 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

This book title, The RIA's Compliance Solution Book (Answers for the Critical Questions), ISBN: 9781576601921, by Elayne Robertson Demby, published by Wiley (May 1, 2006) is available in hardcover. Our minimum order quantity is 25 copies. All standard bulk book orders ship FREE in the continental USA and delivered in 4-10 business days.

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