{"product_id":"9780470885086","title":"The RIA's Compliance Solution Book: Answers for the Critical Questions","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":"Wiley","offers":[{"title":"Default Title","offer_id":47111351501040,"sku":"9780470885086","price":80.0,"currency_code":"USD","in_stock":true}],"thumbnail_url":"\/\/cdn.shopify.com\/s\/files\/1\/0737\/7593\/9824\/files\/9780470885086_p0.jpg?v=1763707386","url":"https:\/\/shop-qa.barnesandnoble.com\/products\/9780470885086","provider":"Barnes \u0026 Noble (DEV)","version":"1.0","type":"link"}