IA- 2020 Investment Adviser Year-End Compliance Checklist Update

The Updated 2020 Investment Adviser Year-End Compliance Checklist serves as an important part of an investment adviser’s overall compliance program under SEC Rule 206(4)-7 and/or similar state requirements. The Checklist allows investment adviser firms to record and reconcile compliance tasks that are required throughout the year to close any compliance gaps and/or allow for completion of any remaining requirements.  The Checklist includes seventeen separate categories including Reg BI/Form CRS with corresponding compliance tasks and responsibilities along with the related due dates and completion dates. Members also downloaded 2020 Investment Adviser Annual Compliance Calendar. Updated version at The Updated 2021 Investment Adviser Year-End Compliance Checklist

Version/Update: V.7/November 20, 2020

Total Page Count/Format: 7/.pdf (form filler)

Source/Author(s): Connexien