IA- SEC Reg. Investment Adviser Audit Review Template (IA-ART)

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The Investment Adviser Audit Review Template (IA-ART) serves as a useful tool for conducting an annual assessment of an SEC registered investment adviser’s compliance program.  The information contained in the Audit Review Template provides for an effective review and testing process of select books and records as part of an investment adviser’s requirement to adopt and implement written policies and procedures reasonably designed to prevent violation of the federal securities laws and review those policies and procedures annually for their adequacy and the effectiveness of their implementation in accordance with SEC Rule 206(4)-7.

Version/Update: V.7/May 23, 2018

Total Page Count: 29

Source/Author(s): Connexien