IA- Investment Adviser Year-End Compliance Checklist


Regular price $225.00

The 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 Year-End Compliance 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 Year-End Compliance Checklist includes fourteen separate categories with corresponding compliance tasks and responsibilities along with the related due dates and completion dates.

Version/Update: V.4/November 2, 2018

Total Page Count: 6

Source/Author(s): Connexien