IA- Investment Adviser Restricted Securities List (RSL)

The Investment Adviser Restricted Securities List serves as an important tool for recording, tracking and monitoring compliance with its restricted securities in accordance with Rule 204A-1 under the Advisers Act and the Insider Trading and Securities Fraud Enforcement Act of 1988.  The rules require firms to establish, maintain, and enforce procedures that are reasonably designed to prevent the misuse of non-public information and associated persons are strictly prohibited from trading on any information that could be considered material, non-public information.  The List includes sections for recording information for each restricted security to include the appropriate code/reason for restriction type and a signed acknowledgement section. Members also downloaded Investment Adviser Code of Ethics or Investment Adviser Rep Annual Compliance Certification.

Version/Update: V.2/September 27, 2018

Total Page Count: 1

Source/Author(s): Connexien