The RIA's Compliance Solution Book: Answers for the Critical Questions
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
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.
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.
Demby’s work has been published in numerous consumer and trade outlets including the New York Times, WSJ.com, Crain's New York Business, Human Resources Executive, CFO Magazine, Plan Sponsor Magazine, Advisor Today, Collections & Credit Risk magazine, Treasury & Risk Management magazine, Wealth Manager magazine, and World Global Custodian. After receiving her BA in economics from Boston University, magna cum laude, Demby received a JD from Fordham University's School of Law and an LLM in taxation law from New York University School of Law.
- 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