IA- 2020 Investment Adviser Year-End Compliance Checklist Update


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The Updated 2020 Investment Adviser Year-End Compliance Checklist serves as an important part of an investment adviser’s overall compliance program under SEC Rule 206(4)-7 and/or similar state requirements. The Checklist allows investment adviser firms to record and reconcile compliance tasks that are required throughout the year to close any compliance gaps and/or allow for completion of any remaining requirements.  The Checklist includes seventeen separate categories including Reg BI/Form CRS with corresponding compliance tasks and responsibilities along with the related due dates and completion dates. Members also downloaded 2020 Investment Adviser Annual Compliance Calendar.

Version/Update: V.7/November 20, 2020

Total Page Count/Format: 7/.pdf (form filler)

Source/Author(s): Connexien