IA- California State Investment Adviser Compliance Manual


Regular price $750.00

The California State Registered Investment Adviser Compliance Manual is a customizable document designed for investment adviser firms to meet the minimum requirements for establishing a compliance program and the supervision of advisory activities in accordance with Title 10, Chapter 3, Subchapter 2, Articles 10-11 of the California Code of Regulations (“CCR”) and Title 4. Securities 25000-31516 of the California Corporations Code (“CCC”).  The Compliance Manual includes thirteen separate sections to address regulatory focal points often highlighted during California state examinations in addition to seventeen corresponding exhibits.

Version/Update: V.2/May 28, 2018

Total Page Count: 151

Source/Author(s): Connexien