The Investment Advisor’s Compliance Guide (Advisor's Guide)

The Investment Advisor’s Compliance Guide (Advisor's Guide)

<p>As the SEC and state securities regulators ramp up their regulatory supervision, investment advisers need to know what to do stay in compliance.</p><br /><br /><p>Simplify complex compliance activities, save yourself worry, and avoid severe sanctions with the all new <b><i>Investment Advisor s Compliance Guide.</b></i></p><br /><br /><p>The Investment Advisor s Compliance Guide provides guidance on all of today s compliance issues, including:</p><br /><ul><br /><li>Rules affecting the use of social media</li><br /> <li>Switching from SEC registration to state registration</li><br /> <li>The Form ADV Disclosure Brochure</li><br /> <li>Specific changes mandated by Dodd-Frank</li><br /> <li>SEC whistleblower activities</li><br /> <li>And much more</li><br /> </ul> The expert author, Les Abromovitz, is an attorney with extensive experience in handling compliance consulting assignments for Registered Investment Advisers (RIAs). In <b><i>The Investment Advisor’s Compliance Guide</b></i>, he 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.