Term

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: <ul> <li>advisory contracts and fees</li> <li>advertising and client communications</li> <li>RIA compliance programs and codes of ethics</li> <li>custody of customer accounts</li> <li>completing, filing, and amending Form ADV</li> <li>selecting brokers and executing trades</li> </ul>

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

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Auto & Cycles

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Business & Finance

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Children's

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Computer & Electronic

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Entertainment & TV

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Family & Parenting

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Food & Beverage

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Home & Garden

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Men's

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News & Politics

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Science & Nature

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Travel & Leisure

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Value Bundles

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