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Author: Bruce Smith Publisher: Brookings Institution Press ISBN: 9780815720973 Category : Law Languages : en Pages : 256
Book Description
America's governing system is unique in the extent to which scientists and other outside experts participate in the policy process. This wide-ranging study traces the rise of scientists in the policy process and shows how outside experts interrelate with politicians and administrators to produce a unique and dynamic policy process. It also shows how the very openness of American government creates the potential for unusual conflicts of interest. Bruce L. R. Smith focuses on the experiences of agency and presidential-level advisory systems over the past several decades. He chronicles the special complexities and challenges resulting from the Federal Advisory Committee Act-the "open meeting" law-to provide a better understanding of the role of advisory committees and offers valuable lessons to guide their future use. He looks at science advice in the Departments of Defense, State, and Energy; the National Aeronautics and Space Administration; the Environmental Protection Agency; and then examines how science advisory mechanisms have worked at the White House. Rather than simply providing a description of structures and institutions, Smith shows the advisory systems in action—how advisory systems work or fail to work in practice. He analyzes how the advisers influence the policymaking process and affect the life of the agencies they serve. Smith concludes with an assessment of the relationship between science advice and American democracy. He explains that the widespread use of outside advisers clearly reflects America's preference for pluralism. By scrutinizing agency plans, goals, and operations, advisers and advisory committees serve a variety of functions and attempt to strike a balance between openness and citizen access to government and the need for discipline and sophisticated expertise in policymaking. At the root of the advisory process is a paradox: scientists are called on because of their special expertise, but they are useful onl
Author: Bruce Smith Publisher: Brookings Institution Press ISBN: 9780815720973 Category : Law Languages : en Pages : 256
Book Description
America's governing system is unique in the extent to which scientists and other outside experts participate in the policy process. This wide-ranging study traces the rise of scientists in the policy process and shows how outside experts interrelate with politicians and administrators to produce a unique and dynamic policy process. It also shows how the very openness of American government creates the potential for unusual conflicts of interest. Bruce L. R. Smith focuses on the experiences of agency and presidential-level advisory systems over the past several decades. He chronicles the special complexities and challenges resulting from the Federal Advisory Committee Act-the "open meeting" law-to provide a better understanding of the role of advisory committees and offers valuable lessons to guide their future use. He looks at science advice in the Departments of Defense, State, and Energy; the National Aeronautics and Space Administration; the Environmental Protection Agency; and then examines how science advisory mechanisms have worked at the White House. Rather than simply providing a description of structures and institutions, Smith shows the advisory systems in action—how advisory systems work or fail to work in practice. He analyzes how the advisers influence the policymaking process and affect the life of the agencies they serve. Smith concludes with an assessment of the relationship between science advice and American democracy. He explains that the widespread use of outside advisers clearly reflects America's preference for pluralism. By scrutinizing agency plans, goals, and operations, advisers and advisory committees serve a variety of functions and attempt to strike a balance between openness and citizen access to government and the need for discipline and sophisticated expertise in policymaking. At the root of the advisory process is a paradox: scientists are called on because of their special expertise, but they are useful onl
Author: Scott West Publisher: Kaplan Trade ISBN: 9780793136643 Category : Business & Economics Languages : en Pages : 256
Book Description
Learn what makes a client trust you to be their financial advisor. Put the power of story telling into selling financial products. The authors explain the process of making these intuitive connections, then translate their findings into understandable and practical strategies that any financial professional can use. They present actual stories, including many by Warren Buffet, one of the greatest "storysellers" of all time. These actual stories can help financial pros tap into the "gut reaction" of different types of clients. the book also includes special topics on communicating to women, the 50+ market, and the affluent.
Author: Ed Butowsky Publisher: Post Hill Press ISBN: 1642932353 Category : Business & Economics Languages : en Pages : 167
Book Description
Millions of us are committing a slow, imperceptible form of financial suicide. Chances are your IRA or 401(k) carries far more risk than you realize, lacks real diversification that could reduce downside risk, and is falling behind the underreported rate of inflation that eats away at your retirement fund every year. In the next market crash, you could be left vulnerable and unprotected. Wall Street financial advisers are supposed to build and preserve your wealth, yet they are untrained in portfolio construction and how to contain risk and bulletproof your investments. They charge high fees and sometimes put their own interests ahead of yours. Now Ed Butowsky, a Wall Street insider who spent two decades as one of the top producers at the fabled firm of Morgan Stanley & Co., breaks from the pack to reveal the flaws, fibs and failings of financial advisers. To fix this mess, he has created the new CHIP Score to empower you to evaluate the potential for Risk & Reward in your portfolio and grade your adviser—before the next meltdown. Nobody else on Wall Street ever dared to create anything like it. Wealth Mismanagement will empower investors to protect themselves. Read it & reap.
Author: Clifford E. Kirsch Publisher: ISBN: 9781402407710 Category : Business & Economics Languages : en Pages : 0
Book Description
Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.
Author: Terrance J. O'Malley Publisher: Wolters Kluwer ISBN: 1454838493 Category : Law Languages : en Pages : 1060
Book Description
Investment Adviser's Legal and Compliance Guide, Second Edition is an invaluable guide written to assist attorneys and investment advisers in both drafting their compliance policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for experienced attorneys and compliance officers for fulfilling their changing responsibilities under new rules adopted under the Investment Advisers Act of 1940, as well as new staff interpretations and guidance. For the Second Edition, the original author, Terrance J. Oand’Malley, is joined by John H. Walsh. While both authors are seasoned practitioners and acknowledged experts in the area of investment adviser compliance matters, Mr. Walshand’s years of experience, including at the SEC, are reflected in the enhanced practical discussion of relevant legal and compliance issues, including increased numbers of compliance tips, enforcement and regulatory alerts, and compliance tools. Investment Adviser's Legal and Compliance Guide, Second Edition covers in detail such topics as: Filings and amendments that an adviser must make to maintain its SEC registration Major rules and requirements dealing with marketing and attracting new clients Issues arising in connection with the management of private funds The SEC's examination process New clients, and the management of client accounts. The book also covers requirements relating to the adviser's obligation to its customers, including preventing insider trading and other trading abuses, as well as an adviser's recordkeeping, which is a major factor in meeting the requirements of the Investment Advisers Act. In addition, Investment Adviser's Legal and Compliance Guide, Second Edition provides registered investment advisers and their legal counsel with a comprehensive review of their compliance responsibilities that arise under the Investment Advisers Act.
Author: William I. Woodson Publisher: Columbia University Press ISBN: 0231553714 Category : Business & Economics Languages : en Pages : 335
Book Description
Family offices are private organizations that assume the daily administration and management of a wealthy family’s personal and financial affairs. Historically, these repositories of great wealth were shrouded in secrecy, their activities conducted behind closed doors. Recently, family offices have acquired a considerably higher public profile: they represent a mere 7 percent of the world’s ultra-high-net-worth population—yet control a staggering 50 percent of the wealth. As only a select few families now hold a disproportionate amount of global wealth, there are significant social implications to how such assets are managed and used. This book provides an insider’s view for anyone looking to understand family offices and how to best serve and advise them. The veteran practitioners William I. Woodson and Edward V. Marshall offer a thorough guide to family offices: why wealthy families create them, what they do, and how to manage them effectively. They present these insights through a series of problem-based learning cases that follow a single family’s journey from the time of a significant liquidity event; through the creation, staffing, and management of their family office; and on to its succession. Each case study is supported by detailed background reference material. The cases and background materials are drawn from the authors’ practical knowledge, network of industry experts, and experience advising family offices large and small. They shed light on the unique issues that ultrawealthy families face and the solutions they adopt to address them throughout the life cycle of a family office. This book is the definitive resource for practitioners and students, as well as family principals, advisers, service providers, and all others who engage with the world of family offices.
Author: Barry Leonard Publisher: DIANE Publishing ISBN: 1437980600 Category : Business & Economics Languages : en Pages : 208
Book Description
Retail investors seek guidance from broker-dealers and investment advisers (BD&IA) to manage their invest. and to meet their own and their families¿ financial goals. BD&IA are regulated extensively, but the regulatory regimes differ, and BD&IA are subject to different standards under fed. law when providing invest. advice (IA) about securities. This report evaluated: (1) The effectiveness of existing legal standards of care for providing personalized IA and recommend. about securities to retail customers; and (2) Whether there are legal gaps in regulatory standards in the protection of retail customers relating to providing personalized IA about securities to retail customers that should be addressed by statute. This is print on demand report.
Author: Mark C. Tibergien Publisher: John Wiley and Sons ISBN: 9780470884959 Category : Business & Economics Languages : en Pages : 304
Book Description
When financial advisers need guidance on running their business, they turn to Mark Tibergien, the most prominent, most respected authority and hands-on consultant on the science and practice of managing financial advisory firms. Together with Moss Adams colleague and principal Rebecca Pomering, they have combined their years of research and analysis to write the definitive book on the subject. The authors first identify how to assess the business and evaluate oneself as a manager. They then present strategic-thinking issues—such as practice models, business plans, and differentiators—in a Socratic style. This is followed by a detailed overview of critical topics, from financial management and human capital to IT and marketing—encompassing the management skills, approaches, and mindsets needed for success. With management tools, worksheets, and industry statistics, Practice Made Perfect is the authoritative book from the industry's expert.
Author: Bruce Smith
Author: Bruce Smith
Author: Scott West
Author: Ed Butowsky 
Author: Clifford E. Kirsch
Author: Terrance J. O'Malley
Author: William I. Woodson
Author: 
Author: 
Author: Barry Leonard
Author: Mark C. Tibergien