IA- Investment Adviser Year-End Compliance Checklist

The Investment Adviser Year-End Compliance Checklist serves as an important part of an investment adviser’s overall compliance program under SEC Rule 206(4)-7 and/or similar state requirements. The Year-End Compliance Checklist allows investment adviser firms to record and reconcile compliance tasks that are required throughout the year to close any compliance gaps and/or allow for completion of any remaining requirements.  The Year-End Compliance Checklist includes fourteen separate categories with corresponding compliance tasks and responsibilities along with the related due dates and completion dates. Updated version at The Updated 2021 Investment Adviser Year-End Compliance Checklist

Version/Update: V.4/November 2, 2018

Total Page Count: 6

Source/Author(s): Connexien