IA- Investment Adviser Form ADV Part 1 & 2A/B Comparison Checklist

The Investment Adviser Form ADV Part 1 & 2A/B Comparison Checklist serves as an important part of an investment adviser’s overall compliance program. Investment Adviser firms must ensure that certain responses on Form ADV Part 1 are reviewed and compared with select responses on Form ADV Part 2A/B for accuracy and consistency of disclosures.  The Comparison Checklist helps adviser firms evidence their review of Form ADV responses in addition to identifying possible inconsistencies which are often highlighted during the investment adviser regulatory examination process.  Members also downloaded Investment Adviser Quarterly Compliance Review Checklist and Form ADV Offer Letter & Summary of Material Changes.

Version/Update: V.2/July 23, 2020

Total Page Count/Format: 1/.pdf (form filler)

Source/Author(s): Connexien