The Advisor's Professional Library

Tax Planning

Tax Facts on Insurance & Employee Benefits and Investments From the Editors of Tax Facts

Authoritative and easy-to-use, Tax Facts on Insurance & Employee Benefits and Investments shows you how the tax law and regulations are relevant to your insurance, employee benefits, and financial planning practices.

Start Reading

Advisor Compliance

The Investment Advisor's Compliance Guide Les Abromovitz

The Investment Advisor's Compliance Guide is designed to clarify complex compliance requirements, simplify compliance activities, and save you time and worry.

Start Reading
Les Abromovitz About the Author
Articles on Advisor Compliance
Regulatory Oversight of Investment Advisors Free
Advertising Advisor Services and Credentials $1.99
Agency and Principal Transactions $1.99
Anti-Fraud Provisions of the Investment Advisers Act $1.99
Best Practices for Working with Senior Investors $1.99
Books and Records Rule $1.99
Client Commission Practices and Soft Dollars $1.99
Client Communication and Miscommunication $1.99
Code of Ethics Rule $1.99
Conducting Due Diligence of Sub-Advisors and Third-Party Advisors $1.99
Dealings With Qualified Clients and Accredited Investors $1.99
Differences Between State and SEC Regulation of Investment Advisors $1.99
Disaster Recovery Plans and Succession Planning $1.99
Do’s and Don’ts of Advisory Contracts $1.99
How to Avoid Sabotaging Your Compliance Exam $1.99
Meeting and Exceeding Clients and Regulators’ Expectations $1.99
Nothing but the Best Execution $1.99
Pay-to-Play Rule $1.99
Preventing and Dealing with Client Complaints $1.99
Privacy Policies and Rules $1.99
Proxy Voting $1.99
RIAs and Customer Identification $1.99
Recent Changes in the Regulatory Landscape $1.99
Registration Requirements for Investment Advisor Representatives (IARs) $1.99
Risk-Based Oversight of Investment Advisors $1.99
Scope of the Fiduciary Duty Owed by Investment Advisors $1.99
Suitability and Fiduciary Duty $1.99
The Custody Rule and its Ramifications $1.99
The Few and the Proud: Chief Compliance Officers $1.99
The Need for Thorough and Effective Policies and Procedures $1.99
The New and Improved Form ADV $1.99
Trading Practices and Errors $1.99
Updating Form ADV and Form U4 $1.99
Use and Misuse of Social Media $1.99
Using Solicitors to Attract Clients $1.99
Where Are We Headed? $1.99
Whistleblowers $1.99
U.S. Securities and Exchange Commission Information $1.99
Glossary Free
Print Edition Image

Print & Digital Editions Available at the Book Store

Shop Now

ThinkAdvisor's CE Center

Start earning FREE continuing education credits in three steps.

Each passed test provides one hour of continuing education credit pre-reviewed by the Certified Financial Planner Board of Standards, and one hour of credit toward PACE (Professional Achievement in Continuing Education) recertification.

Get Started