IA- SEC Registered Investment Adviser Compliance Manual (without Exhibits)
IA- SEC Registered Investment Adviser Compliance Manual (without Exhibits)
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The SEC Registered Investment Adviser Compliance Manual (without Exhibits) serves as an important part of an investment adviser’s overall compliance program by meeting certain requirements under SEC Rule 206(4)-7 and/or similar state requirements. The customizable Manual allows firms to memorialize their compliance and supervisory processes and includes twelve separate sections in areas such as licensing & registration, supervision, standards of conduct, advertising, agreements & contracts, accounts & transactions, privacy, proxy voting and others to include new Form CRS and Marketing Rule requirements. The Manual is designed to address certain regulatory focal points often highlighted during SEC regulatory examinations. Members can also view our entire collection at SEC Reg. IA WSP Library. Members also viewed SEC Registered Investment Adviser Compliance and Supervisory Procedure Manual (with Exhibits).
Version/Update: V.16/May 1, 2021
Total Page Count: 159/.docx
Source/Author(s): Connexien