IA- Compliance Certification for Independent Investment Adviser Activities (Long Form)

The Compliance Certification for Independent Investment Adviser Related Activities (Long Form) serves as an important part of an investment adviser’s overall compliance program.  The Certification allows firms to memorialize their compliance and supervisory review processes for advisory representatives and/or access persons who are operating, controlling, affiliated with or otherwise performing advisory services on behalf of another independent investment adviser firm.  The Certification is designed to address fourteen regulatory focal points often highlighted during regulatory examinations.  Members also downloaded Compliance Questionnaire for Independent Investment Adviser Related Activities (Short Form).

Version/Update: V.4/June 15, 2019

Total Page Count: 4

Source/Author(s): Connexien