IA- Investment Adviser Form ADV & CRS Delivery Log

The Investment Adviser Form ADV & CRS Delivery Log serves as an important part of an investment adviser’s overall compliance program by meeting certain disclosure and reporting requirements under SEC Rule 206(4)-7 and/or applicable state requirements.  The Form ADV & CRS Delivery Log allows Investment adviser firms to maintain a system for documenting the delivery of its Form ADV Part 2 annual & other-than-annual updates and material updates to Form CRS to its advisory clients.  Members also downloaded the Form CRS Relationship Summary Template for Investment Advisers and Form CRS Requirements for State Registered Investment Advisers list.

Version/Update: V.2/July 1, 2022

Total Page Count/Format: 1/.xlsx (landscape)

Source/Author(s): Connexien