IA- Investment Adviser Rep Annual Compliance Certification

The Investment Adviser Representative Annual Compliance Certification serves as an important part of an investment adviser’s overall compliance program in accordance with SEC Rule 206(4)-7 (Compliance Procedures and Practices). As part of a firm’s annual compliance meeting, this certification process allows for supervised persons to complete, sign and confirm compliance with such areas as political contributions, outside business activities, customer complaints & disclosures, private securities transactions, personal securities accounts; insider trading, gifts & gratuities, use of non-member email, social media, annual holdings reporting, electronic communications, code of ethics, supervisory procedures and termination procedures.

Version/Update: V.2/October 31, 2017

Total Page Count: 11

Source/Author(s): Connexien