Beyond Reproach: Investment Adviser Compliance: 2027 Edition (Beyond Reproach: Financial Services Compliance Book 2)

Description

A working reference for the people who run a registered investment adviser's compliance program. Beyond Reproach: Investment Adviser Compliance is written for chief compliance officers, principals and executives, operations personnel, investment adviser representatives, and the attorneys and consultants who support them. Twenty-one chapters each stand alone, organized around the annual compliance cycle rather than the order of the rulebook, so the book reads the way the year actually runs. One design decision shapes every page: state-registered and SEC-registered advisers are covered in a single track. Most obligations in this profession are shared in substance and differ in mechanics (who receives the filing, which rule number governs, where the figures come from). So rather than split the book in half and make every reader read everything twice, the fork lives inside each Rule-to-Practice block, where a Regime field states which regulator's version applies to you. WHAT THE BOOK COVERSWho regulates you, and the fiduciary duty in operationThe compliance program, compliance calendar and annual reviewForm ADV Parts 1, 2A and 2B, and Form CRSAdvisory agreements, fees and billingMarketing, advertising, referrals, promoters and compensationCustody, financial requirements and trading practicesBooks and recordsIAR registration and continuing educationCode of ethics, personal trading and outside activitiesPrivacy, cybersecurity and continuityGrowth and change, and AML readinessArtificial intelligence and automated advice HOW THE BOOK WORKS Appendix E is the State-by-State Reference: each of the fifty states, the District of Columbia and Puerto Rico has its own entry, so the question “what does my state require?” has one place to land. Examiner Focus boxes distill what regulators flagged this cycle and 2027 Edition Notes mark what is moving, beside an authority index, the working papers, a glossary and a rule-to-practice index. THE BEYOND REPROACH SERIES Seven desk references for financial services compliance, revised annually: a roadmap from complex, evolving rules to simple decisions professionals can explain, document and defend. Every volume stands alone. This is Volume 2. ABOUT THE AUTHOR Christopher Rowe, CAMS, is CCO and COO of a correspondent clearing broker-dealer, with over 20 years in the securities industry. His experience spans market making, AML oversight and founding an investment advisory firm. His work in the closely scrutinized OTC markets inspired the Beyond Reproach Compliance Series.

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