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The RIA's Compliance Solution Book. Answers for the Critical Questions. Bloomberg Financial

  • ID: 2218634
  • Book
  • May 2006
  • 298 Pages
  • John Wiley and Sons Ltd
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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
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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.
16 Referrals.
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.


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Elayne Robertson Demby
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