The Investment Advisor’s Compliance Guide, 3rd Edition
$166.00
Price: $166.00
(as of May 26, 2024 07:14:24 UTC – Details)
The Investment Advisor’s Compliance Guide, 3rd Edition delivers a concise yet comprehensive explanation of the rules and how they affect the work you do on a daily basis-no matter where you’re registered. It can be used as basic training for new Investment Advisor Representatives (IARs), as well as seasoned professionals. Best of all, it’s in plain English and will be helpful to both SEC and state-registered investment advisors (RIAs), as well as IARs. This title:
Covers the SEC’s new marketing rule effective November, 2022, including new rules on advertising
Identifies investment advisors’ fiduciary duties, including the Investment Advisers Act’s requirement to seek best execution for their clients
Explains the registered investment advisor (RIA) registration requirements with either the Securities and Exchange Commission or state regulators
Describes how to deal with client complaints as well as how to meet and exceed client expectations, as well as advice on how to deal with senior investors
Provides the latest guidance from the NASSA, including the latest NASAA adviser’s guide and model rules
Helps Chief Compliance Officers to identify situations that may subject them to personal liability
Provides advice on Form ADV, the form used by investment advisers to register with both the Securities and Exchange Commission (“SEC”) and state securities authorities, including how misstatements on Form ADV can lead to serious compliance issues
Describes how to deal with client complaints as well as how to meet and exceed client expectations, as well as advice on how to deal with senior investors
New in the 2023 Edition:
A new chapters on the SEC’s Marketing Rule, including the use of testimonials, endorsements, third-party ratings, and performance advertising
Analysis of the SEC’s new strategic plan for fiscal years 2022 through 2026, including the goals of protecting families against fraud and manipulation, developing a robust regulatory framework, and supporting a skilled workforce that is diverse and inclusive
Personal liability issues facing Chief Compliance Officers (CCOs), including a discussion of the the SEC Commissioner’s 2022 personal liability analysis and the National Society of Compliance Professionals (NSCP)’s Firm and CCO Liability Framework to provide guidance to CCOs
Update on the SEC’s 2022 Staff Bulletin: Standards of Conduct for Broker-Dealers and Investment Advisers Conflicts of Interest
Impact of the pandemic on RIAs’ compliance obligations
The use and misuse of today’s top social media platforms
How new forms of communication can create compliance problems
Form CRS and Regulation Best Interest compliance issues
New discussion of senior clients, including coverage of the NASAA Model Act to Protect Vulnerable Adults from Financial Exploitation
Topics Covered:
The SEC’s new marketing rule, including discussion of advertising services
Registration requirements for Investment Advisor Representatives
The anti-fraud provisions of the Investment Advisers Act, including disclosure of conflicts of interest
The code of ethics rule, including the purpose of the rule and insider trading
Filing and updating of Form ADV
Client communication and miscommunication, including the use of social media
Analysis of the Investment Advisers Act’s “Compliance Program Rule,” which requires advisors registered with the SEC to adopt and implement written compliance policies and procedures
Issues related to fee miscalculations, including SEC warnings to about correctly aggregating household assets for purposes of fee calculations and over-billing of advisory fees
Requirements for advisory contracts, including language to include in those contracts
Fiduciary duty owed by investment advisors, including the fiduciary duty owed by robo-advisors and the best execution role
Meeting and exceeding clients’ expectations
Business continuity rules and succession planning
The pay-to-play rule
Publisher : The National Underwriter Company; Third edition (January 25, 2023)
Language : English
Paperback : 368 pages
ISBN-10 : 1954096925
ISBN-13 : 978-1954096929
Item Weight : 1.3 pounds
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