IA- Ohio Investment Adviser Sample Exam Records Request List

The OH Investment Adviser Sample Exam Records Request List outlines some of the documentation that might be requested during a State of Ohio Division of Securities examination.  Investment advisers should prepare the documentation prior to and upon request by the Ohio Division of Securities.  Members also downloaded Ohio Investment Adviser and Investment Adviser Representative Handbook 2.0.

Version/Update: V.U/March 2020

Total Page Count/Format: 3/.pdf

Source/Author(s): OH Division of Securities