{"product_id":"9781941627945","title":"The Investment Advisor's Compliance Guide, 2nd Edition","description":"\u003cp\u003eGiven 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. \u003cem\u003e\u003cstrong\u003eThe Investment Advisor’s Compliance Guide, 2nd Edition \u003c\/strong\u003e\u003c\/em\u003edelivers 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.\u003cbr\u003e\u003cbr\u003eThe completely enhanced and updated \u003cem\u003e\u003cstrong\u003eInvestment Advisor’s Compliance Guide, 2nd Edition,\u003c\/strong\u003e\u003c\/em\u003e provides highly practical guidance covering all of today’s compliance issues, including:\u003c\/p\u003e \u003cul\u003e \u003cli\u003eThe DOL’s new fiduciary rule\u003c\/li\u003e \u003cli\u003eRIA advertising, including the use of client testimonials, credentials, and performance results\u003c\/li\u003e \u003cli\u003eThe use of today’s top social media platforms\u003c\/li\u003e \u003cli\u003eClient communications, including disclosures\u003c\/li\u003e \u003cli\u003eRecent ethical decisions\u003c\/li\u003e \u003c\/ul\u003e \u003cp\u003eDesigned to go far beyond basic compliance rules, \u003cem\u003e\u003cstrong\u003eThe Investment Advisor’s Compliance Guide, 2nd Edition,\u003c\/strong\u003e\u003c\/em\u003e 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.\u003cbr\u003e\u003cbr\u003eThe expert author, Les Abromovitz, J.D., has extensive experience handling compliance consulting assignments for Registered Investment Advisers (RIAs).  In \u003cem\u003e\u003cstrong\u003eThe Investment Advisor’s Compliance Guide, 2nd Edition, \u003c\/strong\u003e\u003c\/em\u003ehe 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.\u003c\/p\u003e","brand":"National Underwriter Company","offers":[{"title":"Default Title","offer_id":47154398429424,"sku":"9781941627945","price":79.99,"currency_code":"USD","in_stock":true}],"thumbnail_url":"\/\/cdn.shopify.com\/s\/files\/1\/0737\/7593\/9824\/files\/9781941627945_p0.jpg?v=1763758777","url":"https:\/\/shop-qa.barnesandnoble.com\/products\/9781941627945","provider":"Barnes \u0026 Noble (DEV)","version":"1.0","type":"link"}