The RIA's Compliance Solution Book

The RIA's Compliance Solution Book
Author: Elayne Robertson Demby
Publisher: John Wiley & Sons
Total Pages: 316
Release: 2010-05-20
Genre: Business & Economics
ISBN: 0470885084
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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. The RIA's Compliance Solution 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

Investment Adviser's Legal and Compliance Guide

Investment Adviser's Legal and Compliance Guide
Author: Terrance J. O'Malley
Publisher: Wolters Kluwer
Total Pages: 1060
Release: 2013-01-01
Genre: Law
ISBN: 1454838493
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Investment Adviser's Legal and Compliance Guide, Second Edition is an invaluable guide written to assist attorneys and investment advisers in both drafting their compliance policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for experienced attorneys and compliance officers for fulfilling their changing responsibilities under new rules adopted under the Investment Advisers Act of 1940, as well as new staff interpretations and guidance. For the Second Edition, the original author, Terrance J. Oand’Malley, is joined by John H. Walsh. While both authors are seasoned practitioners and acknowledged experts in the area of investment adviser compliance matters, Mr. Walshand’s years of experience, including at the SEC, are reflected in the enhanced practical discussion of relevant legal and compliance issues, including increased numbers of compliance tips, enforcement and regulatory alerts, and compliance tools. Investment Adviser's Legal and Compliance Guide, Second Edition covers in detail such topics as: Filings and amendments that an adviser must make to maintain its SEC registration Major rules and requirements dealing with marketing and attracting new clients Issues arising in connection with the management of private funds The SEC's examination process New clients, and the management of client accounts. The book also covers requirements relating to the adviser's obligation to its customers, including preventing insider trading and other trading abuses, as well as an adviser's recordkeeping, which is a major factor in meeting the requirements of the Investment Advisers Act. In addition, Investment Adviser's Legal and Compliance Guide, Second Edition provides registered investment advisers and their legal counsel with a comprehensive review of their compliance responsibilities that arise under the Investment Advisers Act.

Investment Adviser Regulation

Investment Adviser Regulation
Author: Clifford E. Kirsch
Publisher:
Total Pages: 0
Release: 2006
Genre: Business & Economics
ISBN: 9781402407710
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Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.

Laboratory of Justice

Laboratory of Justice
Author: David Faigman
Publisher:
Total Pages: 417
Release: 2007-12
Genre:
ISBN: 9781422390641
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Because constitutional law works by precedent, the Supreme Court embeds the science of earlier times into our laws today -- sometimes in the service of facts & truth, sometimes in the service of judicial expediency. Here are examples: the 19th-cent. decision on the ¿race question¿ in the ¿Dred Scott¿ Case; Social Darwinism & biological determinism in the 1927 ¿Buck v. Bell¿ eugenics case which held that the government could sterilize individ. it determined were mentally defective; the internment of Japanese-Americans in the 1940s based on genetics; & the Court¿s decision to guarantee legal abortion in ¿Roe v. Wade¿. ¿The Court must embrace science rather than resist it, turning to the lab as well as to precedent.¿

Starting Your Own Practice

Starting Your Own Practice
Author: Robert Fragasso
Publisher: John Wiley & Sons
Total Pages: 224
Release: 2020-12-30
Genre: Business & Economics
ISBN: 1119723000
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Provides expert insight and advice for professionals looking to strike out on their own, fully updated to reflect current trends and issues Considering the overabundance of professional service providers toiling at monolith employers, you might want to start thinking about business independence. Starting Your Own Practice: The Independence Guide for Investment Advisors, Attorneys, CPAs and Other Professional Service Providers offers you step-by-step guidance on the entirety of the independence process, from your initial decision to break free, to managing your business, to your ultimate exit strategy. In the 15 years since he first wrote Starting Your Own Practice, author Robert Fragasso has gained invaluable practical experience continuing to lead his own independent investment management and financial planning firm. Now in its Second Edition, this popular guide provides more depth on management considerations, transition to business maturity, and eventual profitable business succession. The author has added a wealth of alternative ideas on how to leverage your skills and talents in your own business, license your services and infrastructure, plan for your retirement, and more. Sharing new insights on making the independence move quicker, easier, and less costly, this new edition: Provides straightforward information on both the financial benefits and risks of starting your own practice Helps you decide if you truly want to go into business for yourself Offers expert guidance on planning your move and structuring your marketing, managing, staffing, and general business operations Discusses practical considerations such as leaving your current employer, converting existing clients, protecting your confidentiality, and financing your new business Provides new and revised content throughout, including additional in-depth commentary on management considerations and transition to business maturity Starting Your Own Practice: The Independence Guide for Investment Advisors, Attorneys, CPAs and Other Professional Service Providers is indispensable for anyone providing skilled personal services.

The New Retirement Savings Time Bomb

The New Retirement Savings Time Bomb
Author: Ed Slott
Publisher: Penguin
Total Pages: 450
Release: 2021-03-02
Genre: Business & Economics
ISBN: 014313454X
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AS SEEN ON PUBLIC TELEVISION New for 2021—The complete action plan from Ed Slott, "the best source of IRA advice" (Wall Street Journal), to help you make sure your 401(k)s, IRAs, and retirement savings aren't depleted by taxes by the time you need to use them. If you're like most Americans, your most valuable asset is your retirement fund. We diligently save money for years, yet most of us don't know how to avoid the costly mistakes that cause a good chunk of those savings to be lost to needless and excessive taxation. Now, in the midst of a financial crisis, there is more need than ever to protect your assets. The New Retirement Savings Time Bomb, by renowned tax advisor Ed Slott, shows you in clear-cut layman's terms how to take control over your retirement savings plan. This easy-to-follow plan helps you place your assets to avoid the latest traps set out by congress in addition to any that might be set down the road, so you can keep your hard-earned money no matter what. And, it's fully up-to date with information on the SECURE Act and everything you need to know about how the coronavirus relief bills will affect your savings down the road. This book is required reading for every American with savings and investments who is planning to retire, be it five years from now or fifty.

Model Rules of Professional Conduct

Model Rules of Professional Conduct
Author: American Bar Association. House of Delegates
Publisher: American Bar Association
Total Pages: 216
Release: 2007
Genre: Law
ISBN: 9781590318737
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The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.

RIAS Writer's Guide, for Use by Writers of Regulatory Impact Analysis Statements

RIAS Writer's Guide, for Use by Writers of Regulatory Impact Analysis Statements
Author: Consulting and Audit Canada
Publisher:
Total Pages: 54
Release: 1992
Genre:
ISBN:
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This guide is designed to help federal departments meet the objectives of the government's regulatory policy by improving the quality of the regulatory impact analysis statements (RIAS) prepared for their regulations. It first explains the rationale for & use of RIAS, the content of RIAS, and the role of RIAS in regulatory policy. It then provides general guidance on drafting RIAS, followed by specific guidance on writing sections of RIAS dealing with the regulation description, alternatives to regulation, benefits & costs, consultations, compliance & enforcement, contact person(s), and other information. Examples are provided to illustrate the points covered.

The Ultimate Guide to the Advisers Act

The Ultimate Guide to the Advisers Act
Author: Bettina Eckerle
Publisher: El Publishing
Total Pages: 282
Release: 2014-12-03
Genre: Law
ISBN: 9780986271700
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The Ultimate guide to the Advisers Act is finally a reference book that answers the questions many people involved in compliance at investment advisory firms, hedge funds, family offices, venture capital firms and private equity firms face in their day-to-day compliance routine. It is written for executives, as well as staff. With many illustrations and practical how-to tips, it is user-friendly and hits the key requirements for an effective compliance program under the Act. It tells you what to think about when starting out, as well as what to watch out for as a seasoned practitioner. It is written to make compliance accessible, easy to read, concise and pragmatic, with many charts and graphs for ease of use.