IA- California State Investment Adviser Compliance Manual (without Exhibits)

The Updated California State Registered Investment Adviser Compliance Manual (without Exhibits) is a customizable document designed for investment adviser firms to meet the minimum requirements for establishing a compliance program and the supervision of advisory activities in accordance with Title 10, Chapter 3, Subchapter 2, Articles 10-11 of the California Code of Regulations (“CCR”) and Title 4. Securities 25000-31516 of the California Corporations Code (“CCC”).  The Compliance Manual includes thirteen separate sections with updated content to address regulatory focal points often highlighted during California state examinations in addition to seventeen corresponding exhibit links for additional information. Members also viewed the Updated California State Registered Investment Adviser Compliance Manual (with Exhibits).

Version/Update: V.3/February 10, 2022

Total Page Count/Format: 129/.docx

Source/Author(s): Connexien