SEC Registered Investment Adviser Compliance Manual- Exhibit 1.01 List of Supervisory and Reg. Personnel
SEC Registered Investment Adviser Compliance Manual- Exhibit 1.01 List of Supervisory and Reg. Personnel
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The List of Supervisory and Registered Personnel Exhibit serves as an important part of an investment adviser’s overall compliance program in accordance with SEC Rule 206(4)-7. The List allows for an adviser firm to detail a current list of the names, registrations, and effective dates of supervisory and registered investment advisory personnel who are affiliated with the Firm to include direct and indirect reports regarding supervisory responsibilities and oversight. Members can also view our entire collection at SEC Reg. IA WSP Library.
Version/Update: V.3-03312023
Total Page Count/Format: 1/.docx
Source/Author(s): Connexien