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

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, 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.

For registered investment advisers, the pressure to understand changing compliance regulations, and to meet the requirements they impose, has never been more intense. The RIA's Compliance Solution Book gathers the information needed most and gives advisers plain-English translations of the critical rules and regulations. 20 CFP CE credit hours available.

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.