{"title":"Elayne Robertson Demby","description":null,"products":[{"product_id":"ria-s-compliance-solution-book-book-elayne-robertson-demby-9781576601921","title":"The RIA's Compliance Solution 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.\u003cbr\u003e \u003cbr\u003e \u003ci\u003eThe RIA's Compliance Solution Book\u003c\/i\u003e 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: \u003cul\u003e \u003cli\u003eadvisory contracts and fees\u003c\/li\u003e \u003cli\u003eadvertising and client communications\u003c\/li\u003e \u003cli\u003eRIA compliance programs and codes of ethics\u003c\/li\u003e \u003cli\u003ecustody of customer accounts\u003c\/li\u003e \u003cli\u003ecompleting, filing, and amending Form ADV\u003c\/li\u003e \u003cli\u003eselecting brokers and executing trades\u003c\/li\u003e \u003c\/ul\u003e","brand":"WoB","offers":[{"title":"US \/ VERY_GOOD \/ SBYB","offer_id":50005876506897,"sku":"CIN1576601927VG","price":0.0,"currency_code":"GBP","in_stock":false},{"title":"US \/ NEW \/ INGRAM","offer_id":51037989962001,"sku":"NIN9781576601921","price":0.0,"currency_code":"GBP","in_stock":false},{"title":"GB \/ NEW \/ INGRAM","offer_id":52128379470097,"sku":"NLS9781576601921","price":0.0,"currency_code":"GBP","in_stock":true}],"thumbnail_url":"\/\/cdn.shopify.com\/s\/files\/1\/0784\/4072\/6801\/files\/1576601927.jpg?v=1751056624"}],"url":"https:\/\/www.worldofbooks.com\/collections\/author-books-by-elayne-robertson-demby.oembed","provider":"World of Books ","version":"1.0","type":"link"}