IA- Compliance Questionnaire for Independent Investment Adviser Activities (Short Form)

The Compliance Questionnaire for Independent Investment Adviser Related Activities (Short Form) serves as an important part of an investment adviser’s overall compliance program.  The Questionnaire 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 Questionnaire is designed to address certain regulatory focal points often highlighted during regulatory examinations.  Members also downloaded Compliance Certification for Independent Investment Adviser Related Activities (Long Form).

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

Total Page Count: 2

Source/Author(s): Connexien