The Ria's Compliance Solution Book: Answers for the Critical Questions

Registered investment advisers are accustomed to regulatoryscrutiny. But the pressure to understand changing complianceregulations and to meet the requirements they impose has never beenmore intense. A range of scandals and abuses--from thelaundering of terrorist funds to mutual fund tradingshenanigans--has caused the Securities and Exchange Commissionto tighten regulation and step up enforcement. Unfortunately, definitive compliance information--the kind that can saveadvisers precious time and spare them serious trouble--has not beeneasy to find. Until now.

The RIA's Compliance Solution Book gathers theinformation needed most and puts it all in one place. Here adviserswill find plain-English translations of the rules that regulatesuch 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