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
1 Terms and Acronyms.
2 Federal and State Laws and Other Regulations.
3 RIA Registration: What It Means, How It s Done.
4 The Nuts and Bolts of Form ADV.
5 How to Complete Form ADV Part 1.
6 How to Complete Form ADV Part 2.
7 RIA Compliance Programs and Codes of Ethics.
8 Investment Recommendations and Fiduciary Obligations.
9 Advisory Contracts and Fees.
10 Custody of Customer Accounts.
11 Selecting Brokers and Executing Trades.
12 Personal Securities Trading and Reporting.
13 Voting Client Proxies.
14 Record–Keeping Requirements.
15 Advertising and Client Communications.
17 ERISA Plans.
18 Soft Dollars.
19 Protecting Clients Privacy.
20 Money Laundering.
21 Supervising Employees.
22 SEC Examinations and Enforcement Actions.
Appendix A. Contact Information for the SEC and Securities Regulators.
Appendix B. Form ADV.
Appendix C. Adviser Designation requirements.