The RIA's Compliance Solution Book (eBook)

Elayne Robertson Demby, JD, is a nationally recognized journalist. Trained as an attorney, she is sought out for stories that break down complex legal material into simple, understandable English for the layman. Demby has worked in a number of prestigious New York law firms, including Proskauer Rose Goetz & Mendelsohn and Paul, Weiss, Rifkind, Wharton & Garrison. In her work as a journalist, she specializes in business and legal issues such as securities law, tax law, finance, executive compensation, financial planning, human resources, retirement plans, health and welfare plans, corporate governance, nonprofits, collections and credit, and risk management. Demby's work has been published in numerous consumer and trade outlets including the New York Times, WSJ.com, Crain's New York Business, Bloomberg Wealth Manager magazine, Human Resource Executive, CFO magazine, Plansponsor magazine, Advisor Today, Collections & Credit Risk magazine, Treasury & Risk Management magazine, Wealth Manager magazine, and Global Custodian. After receiving her BA in economics from Boston University, magna cum laude, Demby received aJD from Fordham University's School of Law and an LLM in taxation law from New York University School of Law.

Acknowledgments.

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.

"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