IA- Investment Adviser Rep Attestation- Termination Procedures

The Investment Adviser Representative Attestation- Termination Procedures serves as an important part of an investment adviser’s overall compliance program in accordance with SEC Rule 206(4)-7 and/or similar state requirements. When an investment adviser representative joins or leaves an adviser firm there is often a checklist of things a firm needs to do, such as an onboarding and offboarding workflow, to ensure they are fully and properly processed in accordance with company and regulatory requirements.  This Attestation focuses on post-termination procedures to include security and safeguarding client information, use and control of company assets as well as prohibited correspondence and transactional activity.  Members also downloaded Investment Adviser Rep Annual Compliance Certification.

Version/Update: V.2/September 17, 2017

Total Page Count: 1

Source/Author(s): Connexien