The Rias Compliance Solution Book

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The RIA's Compliance Solution Book

Author : Elayne Robertson Demby
Publisher : John Wiley & Sons
ISBN 13 : 0470885084
Total Pages : 316 pages
Book Rating : 4.4/5 (78 download)

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Book Synopsis The RIA's Compliance Solution Book by : Elayne Robertson Demby

Download or read book The RIA's Compliance Solution Book written by Elayne Robertson Demby and published by John Wiley & Sons. This book was released on 2010-05-20 with total page 316 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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

The RIA's Compliance Solution Book

Author :
Publisher :
ISBN 13 :
Total Pages : pages
Book Rating : 4.:/5 (733 download)

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Book Synopsis The RIA's Compliance Solution Book by :

Download or read book The RIA's Compliance Solution Book written by and published by . This book was released on 2010 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Investment Adviser's Legal and Compliance Guide

Author : Terrance J. O'Malley
Publisher : Wolters Kluwer
ISBN 13 : 1454838493
Total Pages : 1060 pages
Book Rating : 4.4/5 (548 download)

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Book Synopsis Investment Adviser's Legal and Compliance Guide by : Terrance J. O'Malley

Download or read book Investment Adviser's Legal and Compliance Guide written by Terrance J. O'Malley and published by Wolters Kluwer. This book was released on 2013-01-01 with total page 1060 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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

Author : Clifford E. Kirsch
Publisher :
ISBN 13 : 9781402407710
Total Pages : 0 pages
Book Rating : 4.4/5 (77 download)

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Book Synopsis Investment Adviser Regulation by : Clifford E. Kirsch

Download or read book Investment Adviser Regulation written by Clifford E. Kirsch and published by . This book was released on 2006 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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

Author : David Faigman
Publisher :
ISBN 13 : 9781422390641
Total Pages : 417 pages
Book Rating : 4.3/5 (96 download)

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Book Synopsis Laboratory of Justice by : David Faigman

Download or read book Laboratory of Justice written by David Faigman and published by . This book was released on 2007-12 with total page 417 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.¿

Model Rules of Professional Conduct

Author : American Bar Association. House of Delegates
Publisher : American Bar Association
ISBN 13 : 9781590318737
Total Pages : 216 pages
Book Rating : 4.3/5 (187 download)

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Book Synopsis Model Rules of Professional Conduct by : American Bar Association. House of Delegates

Download or read book Model Rules of Professional Conduct written by American Bar Association. House of Delegates and published by American Bar Association. This book was released on 2007 with total page 216 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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 :
ISBN 13 :
Total Pages : 54 pages
Book Rating : 4.:/5 (932 download)

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Book Synopsis RIAS Writer's Guide, for Use by Writers of Regulatory Impact Analysis Statements by : Consulting and Audit Canada

Download or read book RIAS Writer's Guide, for Use by Writers of Regulatory Impact Analysis Statements written by Consulting and Audit Canada and published by . This book was released on 1992 with total page 54 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Starting Your Own Practice

Author : Robert Fragasso
Publisher : John Wiley & Sons
ISBN 13 : 1119723000
Total Pages : 224 pages
Book Rating : 4.1/5 (197 download)

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Book Synopsis Starting Your Own Practice by : Robert Fragasso

Download or read book Starting Your Own Practice written by Robert Fragasso and published by John Wiley & Sons. This book was released on 2020-12-30 with total page 224 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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 Ultimate Guide to the Advisers Act

Author : Bettina Eckerle
Publisher : El Publishing
ISBN 13 : 9780986271700
Total Pages : 282 pages
Book Rating : 4.2/5 (717 download)

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Book Synopsis The Ultimate Guide to the Advisers Act by : Bettina Eckerle

Download or read book The Ultimate Guide to the Advisers Act written by Bettina Eckerle and published by El Publishing. This book was released on 2014-12-03 with total page 282 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

The New Retirement Savings Time Bomb

Author : Ed Slott
Publisher : Penguin
ISBN 13 : 014313454X
Total Pages : 450 pages
Book Rating : 4.1/5 (431 download)

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Book Synopsis The New Retirement Savings Time Bomb by : Ed Slott

Download or read book The New Retirement Savings Time Bomb written by Ed Slott and published by Penguin. This book was released on 2021-03-02 with total page 450 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

1040 Quickfinder Handbook

Author : Practitioners Publishing Co. Staff
Publisher :
ISBN 13 : 9780764628252
Total Pages : pages
Book Rating : 4.6/5 (282 download)

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Book Synopsis 1040 Quickfinder Handbook by : Practitioners Publishing Co. Staff

Download or read book 1040 Quickfinder Handbook written by Practitioners Publishing Co. Staff and published by . This book was released on 2005-12-01 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Growing within the Lines

Author :
Publisher : Summit Business Media
ISBN 13 : 0872189678
Total Pages : 160 pages
Book Rating : 4.8/5 (721 download)

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Book Synopsis Growing within the Lines by :

Download or read book Growing within the Lines written by and published by Summit Business Media. This book was released on 2008 with total page 160 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Simplifying RIA Oversight

Author : Guy Baker
Publisher :
ISBN 13 :
Total Pages : 34 pages
Book Rating : 4.:/5 (13 download)

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Book Synopsis Simplifying RIA Oversight by : Guy Baker

Download or read book Simplifying RIA Oversight written by Guy Baker and published by . This book was released on 2015 with total page 34 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

State Taxation

Author : Jerome R. Hellerstein
Publisher :
ISBN 13 : 9780791336496
Total Pages : 0 pages
Book Rating : 4.3/5 (364 download)

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Book Synopsis State Taxation by : Jerome R. Hellerstein

Download or read book State Taxation written by Jerome R. Hellerstein and published by . This book was released on 1998 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Taxation of Regulated Investment Companies and Their Shareholders

Author : Susan A. Johnston
Publisher : Warren Gorham & Lamont
ISBN 13 : 9780791337639
Total Pages : pages
Book Rating : 4.3/5 (376 download)

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Book Synopsis Taxation of Regulated Investment Companies and Their Shareholders by : Susan A. Johnston

Download or read book Taxation of Regulated Investment Companies and Their Shareholders written by Susan A. Johnston and published by Warren Gorham & Lamont. This book was released on 1999-01-01 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Delivering Massive Value

Author : Matthew Jarvis
Publisher : Perfect Ria, LLC
ISBN 13 :
Total Pages : 0 pages
Book Rating : 4.9/5 (86 download)

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Book Synopsis Delivering Massive Value by : Matthew Jarvis

Download or read book Delivering Massive Value written by Matthew Jarvis and published by Perfect Ria, LLC. This book was released on 2022-11-10 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: If all the practice consultants and marketing experts have such great ideas to share, why aren't they using them to run their own successful practices? Finally, a book that offers not just ideas but proven strategies for transforming any financial practice into a highly effective value-delivering machine. Practicing financial advisor Matthew Jarvis uses these exact strategies to run his own wildly successful investment firm. Delivering Massive Value outlines a system you can actually replicate to increase your business's efficiency, attract more A-level clients, and build the practice of your dreams. You'll find: Client scripts your team can use today The trials and tribulations of Jarvis' rise to success Simple but powerful ways to consistently offer your clients more value (while taking more vacations) Everything the "investment gurus" won't tell you about what really works Running a top-class investment practice doesn't mean playing the stock market, it means working with a winning system. Say goodbye to underwhelming accounts, after-hours appointments, and endless frustration-with Delivering Massive Value, you'll learn a reliable system that will help you deliver more value to your clients than you ever thought possible.

Advice That Sticks

Author : Moira Somers
Publisher : Practical Inspiration Publishing
ISBN 13 : 1788600215
Total Pages : 224 pages
Book Rating : 4.7/5 (886 download)

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Book Synopsis Advice That Sticks by : Moira Somers

Download or read book Advice That Sticks written by Moira Somers and published by Practical Inspiration Publishing. This book was released on 2018-02-28 with total page 224 pages. Available in PDF, EPUB and Kindle. Book excerpt: The advice is sound; the client seems eager; and then... nothing happens! Too often, this is the experience that financial professionals encounter in their daily work. When good recommendations go unimplemented, clients’ well-being is compromised, opportunities are lost, and the professional relationship grows strained. Advice that Sticks takes aim at the problem of financial non-adherence. Written by a neuropsychologist and financial change expert, this book examines the five main factors that determine whether a client will follow through with financial advice. Individual client psychology plays a role in non-adherence; so, too, do sociocultural and environmental factors, general advice characteristics, and specific challenges pertaining to the emotionally loaded domain of money. Perhaps most surprising, however, is the extent to which advice-givers themselves can foil implementation. A great deal of non-adherence is due to preventable mistakes made by financial professionals and their teams. The author integrates her extensive clinical and consulting experience with research findings from the fields of positive psychology, behavioural economics, neuroscience, and medicine. What emerges is a thoughtful, funny, but above all practical guide for anyone who makes a living providing financial advice. It will become an indispensable handbook for people working with clients across the wealth spectrum.