The RIA′s Compliance Solution Book – Answers for the Critical Questions
John Wiley & Sons Inc (Hersteller)
978-1-119-20135-9 (ISBN)
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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 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
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, Human Resources Executive, CFO Magazine, Plan Sponsor Magazine, Advisor Today, Collections & Credit Risk magazine, Treasury & Risk Management magazine, Wealth Manager magazine, and World Global Custodian. After receiving her BA in economics from Boston University, magna cum laude, Demby received a JD from Fordham University's School of Law and an LLM in taxation law from New York University School of Law.
| Erscheint lt. Verlag | 3.10.2015 |
|---|---|
| Verlagsort | New York |
| Sprache | englisch |
| Maße | 150 x 250 mm |
| Gewicht | 666 g |
| Themenwelt | Wirtschaft ► Betriebswirtschaft / Management ► Finanzierung |
| ISBN-10 | 1-119-20135-7 / 1119201357 |
| ISBN-13 | 978-1-119-20135-9 / 9781119201359 |
| Zustand | Neuware |
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