Investment Adviser Personal Securities Account Tracking Log
Investment Adviser Personal Securities Account Tracking Log
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The Investment Adviser Personal Securities Account Tracking Log serves as an important part of a firm’s overall compliance program in accordance with SEC Rule 206(4)-7. The customizable spreadsheet allows firms to memorialize their receipt and review of associated persons’ brokerage account statements and includes multiple columns, sections and drop-down selections to provide documentary evidence of ongoing monitoring efforts. The Tracking Log also assists firms in addressing certain regulatory focal points often highlighted during the examination process.
Version/Update: V.2/August 31, 2022
Total Page Count/Format: 1/.xlsx (landscape)
Source/Author(s): Connexien