IA- Investment Adviser Quarterly Compliance Review Checklist

The Investment Adviser Quarterly Compliance Review Checklist serves as an important part of an investment adviser’s overall compliance program in accordance with SEC Rule 206(4)-7 (Compliance Procedures and Practices) and/or similar state requirements.  The Quarterly Compliance Review Checklist helps adviser firms organize and conduct a series of quarterly compliance reviews and certifications to assess their level of compliance that includes twenty separate areas of risk and compliance (including new Reg. BI/Form CRS) to address regulatory focal points often highlighted during the investment adviser regulatory examination process. Members also downloaded 2020 Investment Adviser Compliance Calendar and Investment Adviser Monthly Compliance Review Checklist.

Version/Update: V.4/July 14, 2020

Total Page Count/Format: 13/.docx

Source/Author(s): Connexien