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THE RIAS COMPLIANCE SOLUTION BOOK - ANSWERS FOR THE CRITICAL QUESTIONS (Book)
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THE RIAS COMPLIANCE SOLUTION BOOK - ANSWERS FOR THE CRITICAL QUESTIONS (Book)
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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 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 feesadvertising and client
communicationsRIA compliance programs and codes of ethicscustody of
customer accountscompleting, filing, and amending Form ADVselecting
brokers and executing trades
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