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The RIA's Compliance Solution Book: Answers for the Critical Questions | 
 enlarge | Author: Elayne Robertson Demby
Publisher: Bloomberg Press
Category: Book
List Price: $65.00
Buy New: $40.39
You Save: $24.61 (38%)
New (18) Used (8) from $40.39
Avg. Customer Rating:  4 reviews
Sales Rank: 38446
Media: Hardcover
Number Of Items: 1
Pages: 297
Shipping Weight (lbs): 1.6
Dimensions (in): 9.3 x 6.3 x 1
ISBN: 1576601927
Dewey Decimal Number: 346.730926
EAN: 9781576601921
ASIN: 1576601927
Publication Date: May 1, 2006
Availability: Usually ships in 1-2 business days
Shipping: International shipping available
Condition: Brand new item. Over 3.5 million customers served. Order now. Selling online since 1995. Few left in stock - order soon. Code: I20080807022211S
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Product Description
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 has caused the Securities and Exchange Commission to tighen 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. This 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. EARN 20 HOURS OF CREDIT TOWARD YOUR CFP BOARD CE REQUIREMENT AS WELL AS PACE RECERTIFICATION CREDIT
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| Customer Reviews:
 Pretty good, but not perfect January 10, 2007
1 out of 2 found this review helpful
Very helpful discussion of basics and some advanced issues regarding compliance for RIA's.
A great tool for RIA firms November 10, 2006
3 out of 3 found this review helpful
I can't imagine any RIA firm, particularly those with CFP designees on staff that wouldn't be interested in this book. It is both well written and well organized. I intend to keep this book as a permanent resource. Opportunity to earn 20 hours CFP CE credit gives it great value as well.
The Most Comprehensive Book Of Its Kind June 29, 2006
4 out of 4 found this review helpful
I was quite "blown away" by the amount of accurate information in this book. In all of my years in this industry I have never seen it contained in one place so comprehensively. It is also quite easy to read and to find what you're looking for. I recommend this book as a guidepost to everyone in the investment advisory business.
A n important tool June 19, 2006
4 out of 4 found this review helpful
Any area involving government regulations is destined to be very complex and very confusing. This is particularly true with securities and the SEC and state regulatory requirements. Ms. Demby's book provides a guide through the regulatory maze.
I am just beginning my journey into the financial planning profession, and this book will always be within easy reach.
James Dupree, CPA
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