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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.

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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
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