IA- North Carolina Investment Adviser Books and Records Document Request

The Books and Records Document Request is a useful guide for complying with 18 North Carolina Administrative Code 06A.1706 Recordkeeping Requirements for Investment Advisers, by maintaining and making available certain books and records for examination purposes.  In accordance with North Carolina General Statutes § 78C-18(a),(e), every registered investment adviser shall make and keep such accounts, correspondence, memoranda, papers, books and records as the Administrator by rule prescribes. All such records are subject to periodic, special, or other examinations by representatives of the Administrator as deemed necessary or appropriate in the public interest or for the protection of investors.

Version/Update: V.U/Verif. October 30, 2018

Total Page Count: 2

Source/Author(s): North Carolina Securities Division