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The RIA's Compliance Solution Book

Author : Elayne Robertson Demby

Publisher : John Wiley & Sons

Page : 316 pages

File Size : 29,83 MB

Release : 2010-05-20

Category : Business & Economics

ISBN : 0470885084

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Book Description

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 Regulation

Author : Clifford E. Kirsch

Publisher :

Page : 0 pages

File Size : 49,48 MB

Release : 2006

Category : Business & Economics

ISBN : 9781402407710

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Book Description

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.



Investment Adviser's Legal and Compliance Guide

Author : Terrance J. O'Malley

Publisher : Wolters Kluwer

Page : 1060 pages

File Size : 30,18 MB

Release : 2013-01-01

Category : Law

ISBN : 1454838493

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Book Description

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.



Corporate Compliance Answer Book

Author : Christopher A. Myers

Publisher :

Page : 2384 pages

File Size : 45,28 MB

Release : 2018-11

Category : Auditing, Internal

ISBN : 9781402431197

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Book Description

Representing the combined work of more than forty leading compliance attorneys, Corporate Compliance Answer Book helps you develop, implement, and enforce compliance programs that detect and prevent wrongdoing. You'll learn how to: Use risk assessment to pinpoint and reduce your company's areas of legal exposureApply gap analysis to detect and eliminate flaws in your compliance programConduct internal investigations that prevent legal problems from becoming major crisesDevelop records management programs that prepare you for the e-discovery involved in investigations and litigationSatisfy labor and employment mandates, environmental rules, lobbying and campaign finance laws, export control regulations, and FCPA anti-bribery standardsMake voluntary disclosures and cooperate with government agencies in ways that mitigate the legal, financial and reputational damages caused by violationsFeaturing dozens of real-world case studies, charts, tables, compliance checklists, and best practice tips, Corporate Compliance Answer Book pays for itself over and over again by helping you avoid major legal and financial burdens.



Model Rules of Professional Conduct

Author : American Bar Association. House of Delegates

Publisher : American Bar Association

Page : 216 pages

File Size : 22,97 MB

Release : 2007

Category : Law

ISBN : 9781590318737

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Book Description

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

Author : Consulting and Audit Canada

Publisher :

Page : 54 pages

File Size : 43,1 MB

Release : 1992

Category :

ISBN :

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Book Description

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.



1040 Quickfinder Handbook

Author : Practitioners Publishing Co. Staff

Publisher :

Page : pages

File Size : 33,9 MB

Release : 2005-12-01

Category :

ISBN : 9780764628252

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Book Description

Contains extensive coverage of the tax issues faced by all types of contractors, including large and small contractors, homebuilders, and other specialty trades, provides you with the clear, concise guidance you need to expertly address your tax issues.



Simplifying RIA Oversight

Author : Guy Baker

Publisher :

Page : 34 pages

File Size : 13,80 MB

Release : 2015

Category :

ISBN :

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Book Description

Securities and Exchange Commission (SEC) provides oversight to RIAs managing at least $100 million of Regulatory Assets under Management (RAUM). The number of Registered Investment Advisors (RIAs) managing these assets has increased significantly. In addition, there is increased public pressure to provide broader oversight resulting from regulatory failure of RIAs and Investment Advisor Representatives (IARs). The SEC and organizations such as the Investment Advisor Association (IAA) are lobbying Congress for more resources to provide adequate oversight. Even the smaller firms (managing less than 3.6% of RAUM) are held to the same level of oversight, expense and reporting requirements as the large, very complex investment advisors who manage 96.4% of the assets. This paper identifies and explores five key areas the SEC has marked as the most probable areas of failure, affecting the markets and consumers. It is questionable whether these major concerns highlighted in SEC releases, no-action letters and speeches are relevant to the smaller firms who do not take custody or provide true discretionary management of assets. The level of reporting and scrutiny placed on smaller RIAs using a simple business model, is likely, a waste of SEC resources and taxpayer money. If the SEC delegated oversight of these less complicated RIAs to trained, licensed and regulated compliance consultants, the SEC would reduce their regulatory workload and could refocus resources on larger firms, susceptible to conflicts of interest and other compliance violations established in the 1940's Act. This small change would actually enhance regulation of smaller firms, and would bring meaningful relief to them at the same time. The advantages are significant. This change would allow smaller firms to provide a higher level of service and build better relationships with their clients.



Starting Your Own Practice

Author : Robert Fragasso

Publisher : John Wiley & Sons

Page : 224 pages

File Size : 33,1 MB

Release : 2020-12-30

Category : Business & Economics

ISBN : 1119723000

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Book Description

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.