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Investment Advisor's Compliance Guide, 3rd Edition
Les Abromovitz
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The National Underwriter Company 
Sozialwissenschaften, Recht, Wirtschaft / Recht
Beschreibung
The Investment Advisors Compliance Guide, 3rd Editiondelivers a concise yet comprehensive explanation of the rules and how they affect the work you do on a daily basis-no matter where youre registered. It can be used as basic training for new Investment Advisor Representatives (IARs), as well as seasoned professionals. Best of all, its in plain English and will be helpful to both SEC and state-registered investment advisors (RIAs), as well as IARs. This title:Covers the SECs new marketing rule effective November, 2022, including new rules on advertisingIdentifies investment advisors fiduciary duties, including the Investment Advisers Acts requirement to seek best execution for their clientsExplains the registered investment advisor (RIA) registration requirements with either the Securities and Exchange Commission or state regulatorsDescribes 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 investorsProvides the latest guidance from the NASSA, including the latest NASAA advisers guide and model rulesHelps Chief Compliance Officers to identify situations that may subject them to personal liabilityProvides 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 issuesDescribes 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 investorsNew in the 2023 Edition:A new chapters on the SECs Marketing Rule, including the use of testimonials, endorsements, third-party ratings, and performance advertisingAnalysis of the SECs 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 inclusivePersonal liability issues facing Chief Compliance Officers (CCOs), including a discussion of the the SEC Commissioners 2022 personal liability analysis and the National Society of Compliance Professionals (NSCP)sFirm and CCO Liability Frameworkto provide guidance to CCOsUpdate on the SECs 2022Staff Bulletin: Standards of Conduct for Broker-Dealers and Investment Advisers Conflicts of InterestImpact of the pandemic on RIAs compliance obligationsThe use and misuse of todays top social media platformsHow new forms of communication can create compliance problemsForm CRS and Regulation Best Interest compliance issuesNew discussion of senior clients, including coverage of the NASAA Model Act to Protect Vulnerable Adults from Financial ExploitationTopics Covered:The SECs new marketing rule, including discussion of advertising servicesRegistration requirements for Investment Advisor RepresentativesThe anti-fraud provisions of the Investment Advisers Act, including disclosure of conflicts of interestThe code of ethics rule, including the purpose of the rule and insider tradingFiling and updating of Form ADVClient communication and miscommunication, including the use of social mediaAnalysis of the Investment Advisers Acts ';Compliance Program Rule,' which requires advisors registered with the SEC to adopt and implement written compliance policies and proceduresIssues related to fee miscalculations, including SEC warnings to about correctly aggregating household assets for purposes of fee calculations and over-billing of advisory feesRequirements for advisory contracts, including language to include in those contractsFiduciary duty owed by investment advisors, including the fiduciary duty owed by robo-advisors and the best execution roleMeeting and exceeding clients expectationsBusiness continuity rules and succession planningThe pay-to-play rule
