The Investment Advisor’s Compliance Guide, 2nd Edition

$135.00

Given the current activities of SEC and state securities regulators as well as the changing business and communication landscapes investment advisors today must keep current with developments affecting compliance at all levels and in all jurisdictions. Th

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Product Description

Given the current activities of SEC and state securities regulators as well as the changing business and communication landscapes investment advisors today must keep current with developments affecting compliance at all levels and in all jurisdictions. The Investment Advisors Compliance Guide 2nd Edition delivers a concise yet comprehensive explanation of the rules and how they affect the work you do on a daily basisno matter where youre registered.The completely enhanced and updated Investment Advisors Compliance Guide 2nd Edition provides highly practical guidance covering all of todays compliance issues includingThe DOLs new fiduciary ruleRIA advertising including the use of client testimonials credentials and performance resultsThe use of todays top social media platformsClient communications including disclosuresRecent ethical decisionsDesigned to go far beyond basic compliance rules The Investment Advisors Compliance Guide 2nd Edition will also help advisors avoid compliance issues deal with client complaints and grow their business with the confidence that their actions are well suited to withstand the strictest scrutiny from clients and regulators alike.The expert author Les Abromovitz J.D. has extensive experience handling compliance consulting assignments for Registered Investment Advisers (RIAs). In The Investment Advisors Compliance Guide 2nd Edition he has created a completely up-to-date reader-friendly go-to-resource for investment advisors vital for veterans but also a powerful training tool for those new to the field.