The RIA's Compliance Solution Book: Answers for the Critical Questions

ISBN: 978-1-57660-192-1

Hardcover

316 pages

May 2006

List Price:	US $80.00
Government Price:	US $40.79
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The RIA's Compliance Solution Book: Answers for the Critical Questions (1576601927) cover image

This is a Print-on-Demand title. It will be printed specifically to fill your order. Please allow an additional 10-15 days delivery time. The book is not returnable.

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"Ideal for both small and large practices as a concise refresher for many compliance topics you may have forgotten."
- NAPFA Advisor

"As a reference book and a handy source on compliance, this book is a worthy addition to every RIA's shelf."
- MorningstarAdvisor.com

"A great book. It's extremely valuable to both the experienced and the soon-to-be adviser. If I'd had it when I was setting up my RIA firm, it would have saved me hundreds of dollars in legal fees. Now, as an experienced adviser, The RIA's Compliance Solution Book can save me thousands in fees. Demby's book is an important tool to preventing many compliance problems and heading off potential noncompliance fines. I learned a lot while reading it. The Q&A format is great and very easy to read. Overall, a very useful, all-in-one guide book"
—Jeff Broadhurst, MBA, CFA
Financial Advisor and President of Broadhurst Financial Advisors, Inc.

"If someone could define all those murky terms regulators like to use and put them in one place with a clear outline of all the regulatory issues advisers must address along with a road map for getting all the answers into an ADV, that resource would look a lot like The RIA's Compliance Solution Book."
—David J. Drucker, MBA, CFP
President, Drucker Knowledge Systems