{"product_id":"the-rias-compliance-solution-book-isbn-9781576601921","title":"The RIA's Compliance Solution Book","description":"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.\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:  \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  \u003cb\u003eAcknowledgments.\u003cbr\u003e Introduction.\u003c\/b\u003e  \u003cp\u003e\u003cb\u003e1\u003c\/b\u003e Terms and Acronyms.\u003cbr\u003e \u003cb\u003e2\u003c\/b\u003e Federal and State Laws and Other Regulations.\u003cbr\u003e \u003cb\u003e3\u003c\/b\u003e RIA Registration: What It Means, How It’s Done.\u003cbr\u003e \u003cb\u003e4\u003c\/b\u003e The Nuts and Bolts of Form ADV.\u003cbr\u003e \u003cb\u003e5\u003c\/b\u003e How to Complete Form ADV Part 1.\u003cbr\u003e \u003cb\u003e6\u003c\/b\u003e How to Complete Form ADV Part 2.\u003cbr\u003e \u003cb\u003e7\u003c\/b\u003e RIA Compliance Programs and Codes of Ethics.\u003cbr\u003e \u003cb\u003e8\u003c\/b\u003e Investment Recommendations and Fiduciary Obligations.\u003cbr\u003e \u003cb\u003e9\u003c\/b\u003e Advisory Contracts and Fees.\u003cbr\u003e \u003cb\u003e10\u003c\/b\u003e Custody of Customer Accounts.\u003cbr\u003e \u003cb\u003e11\u003c\/b\u003e Selecting Brokers and Executing Trades.\u003cbr\u003e \u003cb\u003e12\u003c\/b\u003e Personal Securities Trading and Reporting.\u003cbr\u003e \u003cb\u003e13\u003c\/b\u003e Voting Client Proxies.\u003cbr\u003e \u003cb\u003e14\u003c\/b\u003e Record-Keeping Requirements.\u003cbr\u003e \u003cb\u003e15\u003c\/b\u003e Advertising and Client Communications.\u003cbr\u003e \u003cb\u003e16\u003c\/b\u003e Referrals.\u003cbr\u003e \u003cb\u003e17\u003c\/b\u003e ERISA Plans.\u003cbr\u003e \u003cb\u003e18\u003c\/b\u003e Soft Dollars.\u003cbr\u003e \u003cb\u003e19\u003c\/b\u003e Protecting Clients’ Privacy.\u003cbr\u003e \u003cb\u003e20\u003c\/b\u003e Money Laundering.\u003cbr\u003e \u003cb\u003e21\u003c\/b\u003e Supervising Employees.\u003cbr\u003e \u003cb\u003e22\u003c\/b\u003e SEC Examinations and Enforcement Actions.\u003c\/p\u003e \u003cp\u003eAppendix A. Contact Information for the SEC and Securities Regulators.\u003cbr\u003e Appendix B. Form ADV.\u003cbr\u003e Appendix C. Adviser Designation requirements.\u003cbr\u003e \u003cbr\u003e Index.\u003c\/p\u003e  \u003cb\u003e\"Ideal for both small and large practices as a concise refresher for many compliance topics you may have forgotten.\"\u003c\/b\u003e\u003cbr\u003e - \u003ci\u003eNAPFA Advisor\u003cbr\u003e \u003cbr\u003e \u003c\/i\u003e\u003cb\u003e\"As a reference book and a handy source on compliance, this book is a worthy addition to every RIA's shelf.\"\u003c\/b\u003e\u003cbr\u003e - MorningstarAdvisor.com \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\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.   \"A great book. It's extremely valuable to both the experienced and the soon-to-be adviser. \u003cb\u003eIf 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, \u003ci\u003eThe RIA's Compliance Solution Book\u003c\/i\u003e can save me thousands in fees.\u003c\/b\u003e 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\u0026amp;A format is great and very easy to read. Overall, a very useful, all-in-one guide book\"\u003cbr\u003e —\u003cb\u003eJeff Broadhurst, MBA, CFA\u003c\/b\u003e\u003cbr\u003e Financial Advisor and President of Broadhurst Financial Advisors, Inc.\u003cbr\u003e  \u003cbr\u003e \"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 \u003ci\u003eThe RIA's Compliance Solution Book.\"\u003c\/i\u003e\u003cbr\u003e —\u003cb\u003eDavid J. Drucker, MBA, CFP\u003c\/b\u003e\u003cbr\u003e President, Drucker Knowledge Systems\u003c\/p\u003e","brand":"Bloomberg Press","offers":[{"title":"Default Title","offer_id":47990330458341,"sku":"NP9781576601921","price":80.0,"currency_code":"USD","in_stock":false}],"thumbnail_url":"\/\/cdn.shopify.com\/s\/files\/1\/1842\/7735\/files\/9781576601921.jpg?v=1761787385","url":"https:\/\/k12savings.com\/es\/products\/the-rias-compliance-solution-book-isbn-9781576601921","provider":"K12savings","version":"1.0","type":"link"}