Demby The RIA's Compliance Solution Book

Answers for the Critical Questions
1. Auflage 2010
ISBN: 978-0-470-88305-1
Verlag: John Wiley & Sons
Format: PDF
Kopierschutz: Adobe DRM (»Systemvoraussetzungen)

E-Book, Englisch, 316 Seiten, E-Book

Reihe: Bloomberg Professional

Registered investment advisers are accustomed to regulatoryscrutiny. But the pressure to understand changing complianceregulations and to meet the requirements they impose has never beenmore intense. A range of scandals and abuses--from thelaundering of terrorist funds to mutual fund tradingshenanigans--has caused the Securities and Exchange Commissionto tighten regulation and step up enforcement. Unfortunately,definitive compliance information--the kind that can saveadvisers precious time and spare them serious trouble--has not beeneasy to find. Until now.
The RIA's Compliance Solution Book gathers theinformation needed most and puts it all in one place. Here adviserswill find plain-English translations of the rules that regulatesuch 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

Autoren/Hrsg.

Demby, Elayne Robertson

Inhaltsverzeichnis

Acknowledgments.
Introduction.
1 Terms and Acronyms.
2 Federal and State Laws and Other Regulations.
3 RIA Registration: What It Means, How It'sDone.
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 FiduciaryObligations.
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 SecuritiesRegulators.
Appendix B. Form ADV.
Appendix C. Adviser Designation requirements.
Index.

Über Autor(innen)

Elayne Robertson Demby, JD, is a nationally recognizedjournalist. Trained as an attorney, she is sought out for storiesthat break down complex legal material into simple, understandableEnglish for the layman. Demby has worked in a number of prestigiousNew York law firms, including Proskauer Rose Goetz & Mendelsohnand Paul, Weiss, Rifkind, Wharton & Garrison. In her work as ajournalist, she specializes in business and legal issues such assecurities law, tax law, finance, executive compensation, financialplanning, human resources, retirement plans, health and welfareplans, corporate governance, nonprofits, collections and credit,and risk management.
Demby's work has been published in numerous consumer andtrade outlets including the New York Times,WSJ.com, Crain's New York Business, Human ResourcesExecutive, CFO Magazine, Plan Sponsor Magazine, Advisor Today,Collections & Credit Risk magazine, Treasury &Risk Management magazine, WealthManager magazine, and World GlobalCustodian. After receiving her BA in economics from BostonUniversity, magna cum laude, Demby received a JD from FordhamUniversity's School of Law and an LLM in taxation law from New YorkUniversity School of Law.