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RIA Compliance Guide
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The RIA's Compliance Solution Book - 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
Investment Advisor Regulation: A Step-by-Step Guid to Compliance and the Law - guide to the laws and regulations governing investment advisers. Investment Adviser Regulation explains the regulation of investment advisers, offering guidance on the federal and state laws governing adviser conduct with particular attention to the Investment Advisers Act, the Investment Company Act, and the Employee Retirement Income Security Act (ERISA). In addition the book provides analysis of complex status questions that determine crucial registration, disclosure and liability issues; a detailed explanation of Form ADV; potential conflicts of interest; relevant SEC releases and no-action letters; and much more.
Registration and Regulation of Investment Advisers - an overview of the requirements and procedures for registration of investment advisers and hedge fund managers.
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Nothing herein is intended as legal or financial advice. The law is different in different jurisdictions, and the facts of a particular matter can change the application of the law. Please consult an attorney or your financial advisor before acting upon the information contained in this article. SECLaw.com was created by and is sponsored by Mark J. Astarita, Esq., a securities attorney and partner in the law firm of Beam & Astarita, LLC, who represents all participants in the financial markets. Mr. Astarita can be contacted by email at firstname.lastname@example.org.
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