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BD- 2019 Broker-Dealer Year-end Compliance Checklist

BD- 2019 Broker-Dealer Year-end Compliance Checklist

Vendor:
Connexien

Regular price $125.00 USD

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BD- Broker-Dealer Outside Business Activity (OBA) Tracking Log

BD- Broker-Dealer Outside Business Activity (OBA) Tracking Log

Vendor:
Connexien

Regular price $125.00 USD

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BD- Broker-Dealer Quarterly Financial Reporting Checklist

BD- Broker-Dealer Quarterly Financial Reporting Checklist

Vendor:
Connexien

Regular price $45.00 USD

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IA- Investment Adviser New Hire Due Diligence Form

IA- Investment Adviser New Hire Due Diligence Form

Vendor:
Connexien

Regular price $25.00 USD

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IA- Investment Adviser New Hire Onboarding Compliance Checklist

IA- Investment Adviser New Hire Onboarding Compliance Checklist

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Connexien

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IA- Compliance Certification for Independent Investment Adviser Activities (Long Form)

IA- Compliance Certification for Independent Investment Adviser Activities (Long Form)

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Connexien

Regular price $75.00 USD

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IA- Compliance Questionnaire for Independent Investment Adviser Activities (Short Form)

IA- Compliance Questionnaire for Independent Investment Adviser Activities (Short Form)

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Connexien

Regular price $45.00 USD

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IA- SEC Registered Investment Adviser Compliance Manual (without Exhibits)

IA- SEC Registered Investment Adviser Compliance Manual (without Exhibits)

Vendor:
Connexien

Regular price $975.00 USD

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IA- Investment Adviser Privacy Policy Statement Notification

IA- Investment Adviser Privacy Policy Statement Notification

Vendor:
Connexien

Regular price $25.00 USD

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IA- Identity Theft Red Flags Event Disclosure Log

IA- Identity Theft Red Flags Event Disclosure Log

Vendor:
Connexien

Regular price $25.00 USD

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IA- North Carolina Investment Adviser Surety Bond Form

IA- North Carolina Investment Adviser Surety Bond Form

Vendor:
Connexien

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IA- North Carolina Ten Common Violations of the NC Investment Adviser’s Act

IA- North Carolina Ten Common Violations of the NC Investment Adviser’s Act

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Connexien

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IA- North Carolina Investment Adviser Books and Records Document Request

IA- North Carolina Investment Adviser Books and Records Document Request

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Connexien

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IA- Standard Financial Planning Agreement with Fee Schedule Exhibit

IA- Standard Financial Planning Agreement with Fee Schedule Exhibit

Vendor:
Connexien

Regular price $275.00 USD

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IA- Written Policies and Procedures Compliance Attestation

IA- Written Policies and Procedures Compliance Attestation

Vendor:
Connexien

Regular price $25.00 USD

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IA- Investment Adviser Political Contributions Log

IA- Investment Adviser Political Contributions Log

Vendor:
Connexien

Regular price $25.00 USD

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IA- Investment Adviser Political Contribution Disclosure Statement

IA- Investment Adviser Political Contribution Disclosure Statement

Vendor:
Connexien

Regular price $45.00 USD

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IA- Outside Business Activities (OBA) Disclosure Statement

IA- Outside Business Activities (OBA) Disclosure Statement

Vendor:
Connexien

Regular price $45.00 USD

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IA- Investment Adviser Code of Ethics (COE) (Rule 204A-1)

IA- Investment Adviser Code of Ethics (COE) (Rule 204A-1)

Vendor:
Connexien

Regular price $125.00 USD

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IA- Investment Adviser Restricted Securities List (RSL)

IA- Investment Adviser Restricted Securities List (RSL)

Vendor:
Connexien

Regular price $45.00 USD

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IA- Investment Adviser Insider Trading Statement of Understanding

IA- Investment Adviser Insider Trading Statement of Understanding

Vendor:
Connexien

Regular price $45.00 USD

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IA- List of Designated Supervisory and Registered Personnel

IA- List of Designated Supervisory and Registered Personnel

Vendor:
Connexien

Regular price $25.00 USD

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IA- Electronic Communications Policy Disclosure Statement

IA- Electronic Communications Policy Disclosure Statement

Vendor:
Connexien

Regular price $25.00 USD

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BD- Electronic Communications Policy Disclosure Statement

BD- Electronic Communications Policy Disclosure Statement

Vendor:
Connexien

Regular price $25.00 USD

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BD- Broker-Dealer Best Execution Review Checklist

BD- Broker-Dealer Best Execution Review Checklist

Vendor:
Connexien

Regular price $325.00 USD

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BD- Broker-Dealer Quarterly Compliance Review Checklist

BD- Broker-Dealer Quarterly Compliance Review Checklist

Vendor:
Connexien

Regular price $325.00 USD

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BD- Branch Office Customer Complaint Disclosure Form

BD- Branch Office Customer Complaint Disclosure Form

Vendor:
Connexien

Regular price $45.00 USD

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BD- Broker-Dealer Gifts and Gratuities Disclosure Statement

BD- Broker-Dealer Gifts and Gratuities Disclosure Statement

Vendor:
Connexien

Regular price $45.00 USD

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BD- Compliance Certification for Non-Registered Covered Persons

BD- Compliance Certification for Non-Registered Covered Persons

Vendor:
Connexien

Regular price $45.00 USD

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IA- Disclosure of Accounts at Broker-Dealers and Other Financial Institutions

IA- Disclosure of Accounts at Broker-Dealers and Other Financial Institutions

Vendor:
Connexien

Regular price $25.00 USD

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BD- District of Columbia Transaction Cert. Form for Broker-Dealers and Agents

BD- District of Columbia Transaction Cert. Form for Broker-Dealers and Agents

Vendor:
Connexien

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BD- District of Columbia Statement of Financial Condition

BD- District of Columbia Statement of Financial Condition

Vendor:
Connexien

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BD- FinCEN Customer Due Diligence (CDD) Certification Form

BD- FinCEN Customer Due Diligence (CDD) Certification Form

Vendor:
Connexien

Regular price $25.00 USD

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BD- Anti-Money Laundering (AML) Program Approval by Senior Management

BD- Anti-Money Laundering (AML) Program Approval by Senior Management

Vendor:
Connexien

Regular price $25.00 USD

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Broker-Dealer Written Supervisory Procedures- Anti-Money Laundering

Broker-Dealer Written Supervisory Procedures- Anti-Money Laundering

Vendor:
Connexien

Regular price $325.00 USD

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BD- Broker-Dealer Certification of No Securities Sales

BD- Broker-Dealer Certification of No Securities Sales

Vendor:
Connexien

Regular price $25.00 USD

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