The RIA's Compliance Solution Book: Answers for the Critical QuestionsISBN: 978-1-57660-192-1
Hardcover
316 pages
May 2006
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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Introduction.
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.
Index.