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

The RIA's Compliance Solution Book: Answers for the Critical Questions Hardcover - 2006 - 1st Edition

by Demby, Elayne Robertson

  • Used
  • Hardcover

Description

Bloomberg Press, 2006-05-01. hardcover. Used: Very Good. 6x0x9. Clean and unmarked. Some minor cosmetic shelf wear. From a private collection. Very good condition. Comes from non smoking home.
Used: Very Good
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Details

  • Title The RIA's Compliance Solution Book: Answers for the Critical Questions
  • Author Demby, Elayne Robertson
  • Binding Hardcover
  • Edition number 1st
  • Edition 1
  • Condition Used: Very Good
  • Pages 316
  • Volumes 1
  • Language ENG
  • Publisher Bloomberg Press
  • Date 2006-05-01
  • Features Dust Cover, Index, Price on Product - Canadian, Table of Contents
  • Bookseller's Inventory # 240324001
  • ISBN 9781576601921 / 1576601927
  • Weight 1.3 lbs (0.59 kg)
  • Dimensions 9.4 x 6.4 x 1.1 in (23.88 x 16.26 x 2.79 cm)
  • Themes
    • Interdisciplinary Studies: Law Studies
  • Library of Congress subjects Investment advisors - Legal status, laws,, Investments - Law and legislation - United
  • Library of Congress Catalog Number 2006009549
  • Dewey Decimal Code 346.730

From the rear cover

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

The RIA's Compliance Solution Book 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.

Media reviews

Citations

  • Reference and Research Bk News, 08/01/2006, Page 213

About 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, Bloomberg Wealth Manager magazine, Human Resource Executive, CFO magazine, Plansponsor magazine, Advisor Today, Collections & Credit Risk magazine, Treasury & Risk Management magazine, Wealth Manager magazine, and Global Custodian. 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.

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