{"product_id":"the-rias-compliance-solution-book-elayne-robertson-demby-9781576601921","title":"The Ria's Compliance Solution Book: Answers for the Critical Questions","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--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.\u003cbr\u003e \u003cbr\u003e \u003ci\u003eThe RIA's Compliance Solution Book\u003c\/i\u003e 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: \u003cul\u003e \u003cli\u003eadvisory contracts and fees\u003c\/li\u003e \u003cli\u003eadvertising and client communications\u003c\/li\u003e \u003cli\u003eRIA compliance programs and codes of ethics\u003c\/li\u003e \u003cli\u003ecustody of customer accounts\u003c\/li\u003e \u003cli\u003ecompleting, filing, and amending Form ADV\u003c\/li\u003e \u003cli\u003eselecting brokers and executing trades\u003c\/li\u003e \u003c\/ul\u003e\u003cbr\u003e\u003cbr\u003e\u003cb\u003eAuthor:\u003c\/b\u003e Elayne Robertson Demby\u003cbr\u003e\u003cb\u003eISBN-10:\u003c\/b\u003e 1576601927\u003cbr\u003e\u003cb\u003eISBN-13:\u003c\/b\u003e 9781576601921\u003cbr\u003e\u003cb\u003ePublisher:\u003c\/b\u003e Bloomberg Press\u003cbr\u003e\u003cb\u003eLanguage:\u003c\/b\u003e English\u003cbr\u003e\u003cb\u003ePublished:\u003c\/b\u003e 05\/01\/2006\u003cbr\u003e\u003cb\u003ePages:\u003c\/b\u003e 316\u003cbr\u003e\u003cb\u003eFormat:\u003c\/b\u003e Hardcover\u003cbr\u003e\u003cb\u003eWeight:\u003c\/b\u003e 1.30lbs\u003cbr\u003e\u003cb\u003eSize:\u003c\/b\u003e 9.40h x 6.40w x 1.10d\u003cbr\u003e\u003cbr\u003e\u003cb\u003eReview Citation(s): \u003c\/b\u003e\u003cbr\u003e\u003ci\u003eReference and Research Bk News\u003c\/i\u003e 08\/01\/2006 pg. 213","brand":"Elayne Robertson Demby","offers":[{"title":"Hardcover","offer_id":43985182851327,"sku":"9781576601921","price":80.0,"currency_code":"USD","in_stock":true}],"thumbnail_url":"\/\/cdn.shopify.com\/s\/files\/1\/0662\/2982\/9887\/files\/img_1dc9f148-58a2-487e-8179-767f23b30a34.jpg?v=1683276043","url":"https:\/\/www.whiterainbookhouse.com\/products\/the-rias-compliance-solution-book-elayne-robertson-demby-9781576601921","provider":"WR Book House","version":"1.0","type":"link"}