IA- Investment Adviser Monthly Compliance Review Checklist

The Investment Adviser Monthly Compliance Review Checklist 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).  The Monthly Compliance Review Checklist helps firms organize and conduct a series of monthly compliance reviews and certifications to assess their level of compliance on a regular basis.  Information captured on the Checklist includes sixteen separate areas of risk and compliance to address regulatory focal points often highlighted during the investment adviser regulatory examination process.

Version/Update: V.2/September 25, 2017

Total Page Count: 9

Source/Author(s): Connexien