IA- Investment Adviser Preliminary Audit Records Request List (RRL)

The Investment Adviser Preliminary Audit Records Request List (RRL) is typically used when preparing for an annual investment adviser internal compliance inspection. The Records Request List is designed to customize the list of specific investment adviser related books & records to be provided for review both before and during the onsite portion of the compliance inspection.  The RRL also gives the investment adviser a better understanding of the related books & records to be made available during a regulatory examination. Members also downloaded Investment Adviser Preliminary Audit Questionnaire (PAQ).

Version/Update: V.2/ July 1, 2017

Total Page Count: 4

Source/Author(s): Connexien