IA- Investment Adviser Annual Compliance Meeting (ACM) Packet

The Investment Adviser Annual Compliance Meeting (ACM) Packet serves as a ready-made template to help small investment adviser firms meet the requirements under applicable SEC/State requirements.  The Annual Compliance Meeting Packet includes seven separate compliance related topics to address select regulatory focal points often highlighted during regulatory examinations and emphasized in the 2020 SEC OCIE Examination Priorities Letter.  The ACM Packet also includes an attendance sheet and Annual Compliance Certification for associated/access persons to complete as documentary evidence of completion.

Version/Update: V.16/ June 4, 2020

Total Page Count/Format: 31/.docx

Source/Author(s): Connexien