Full Product Details
Author: Elayne Robertson Demby ,
Douglas S. Rogers
Publisher: Bloomberg Press
Imprint: Bloomberg Press
Dimensions:
Width: 16.00cm
, Height: 2.50cm
, Length: 24.40cm
Weight: 0.717kg
ISBN: 9781576601921
ISBN 10: 1576601927
Pages: 316
Publication Date: 01 May 2006
Audience:
Professional and scholarly
,
Professional & Vocational
Format: Hardback
Publisher's Status: Active
Availability: Out of stock
The supplier is temporarily out of stock of this item. It will be ordered for you on backorder and shipped when it becomes available.
Reviews
Ideal for both small and large practices as a concise refresher for many compliance topics you may have forgotten. - NAPFA Advisor As a reference book and a handy source on compliance, this book is a worthy addition to every RIA's shelf. - MorningstarAdvisor.com A great book. It's extremely valuable to both the experienced and the soon-to-be adviser. If I'd had it when I was setting up my RIA firm, it would have saved me hundreds of dollars in legal fees. Now, as an experienced adviser, The RIA's Compliance Solution Book can save me thousands in fees. Demby's book is an important tool to preventing many compliance problems and heading off potential noncompliance fines. I learned a lot while reading it. The Q&A format is great and very easy to read. Overall, a very useful, all-in-one guide book ?Jeff Broadhurst, MBA, CFA Financial Advisor and President of Broadhurst Financial Advisors, Inc. If someone could define all those murky terms regulators like to use and put them in one place with a clear outline of all the regulatory issues advisers must address along with a road map for getting all the answers into an ADV, that resource would look a lot like The RIA's Compliance Solution Book. ?David J. Drucker, MBA, CFP President, Drucker Knowledge Systems
Ideal for both small and large practices as a concise refresher for many compliance topics you may have forgotten. - NAPFA Advisor As a reference book and a handy source on compliance, this book is a worthy addition to every RIA's shelf. - MorningstarAdvisor.com
Author Information
Elayne Robertson Demby, JD, is a nationally recognized journalist. Trained as an attorney, she is sought out for stories that break down complex legal material into simple, understandable English for the layman. Demby has worked in a number of prestigious New York law firms, including Proskauer Rose Goetz & Mendelsohn and Paul, Weiss, Rifkind, Wharton & Garrison. In her work as a journalist, she specializes in business and legal issues such as securities law, tax law, finance, executive compensation, financial planning, human resources, retirement plans, health and welfare plans, corporate governance, nonprofits, collections and credit, and risk management. Demby’s work has been published in numerous consumer and trade outlets including the New York Times, WSJ.com, Crain’s New York Business, Bloomberg Wealth Manager magazine, Human Resource Executive, CFO magazine, Plansponsor magazine, Advisor Today, Collections & Credit Risk magazine, Treasury & Risk Management magazine, Wealth Manager magazine, and Global Custodian. After receiving her BA in economics from Boston University, magna cum laude, Demby received aJD from Fordham University’s School of Law and an LLM in taxation law from New York University School of Law.
