IA- List of Designated Supervisory and Registered Personnel

The List of Designated Supervisory and Registered Personnel 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.  The List allows an investment adviser firm to update and maintain a list of names, registrations and effective dates of designated supervisors and their advisory representatives.  The List also covers those designated supervisors responsible for select departments and/or operations in various areas to include, personnel, licensing & registration, standards of conduct, communications, contracts & disclosures, books & records, financial & regulatory reporting, advertising, trading & transactions, privacy procedures, proxy voting and more.

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

Total Page Count: 1

Source/Author(s): Connexien