IA- Statement of Periodic Testing of BCP & Regulation S-P

The Investment Adviser Statement of Periodic Testing of BCP & Regulation S-P serves as documentary evidence of an investment adviser’s periodic testing and assessment in accordance with SEC Release No. IA-4439 (Adviser Business Continuity and Transition Plans) and Regulation S-P requirements.  This Statement acknowledges completion of the periodic test and corresponding results and/or findings to determine whether such BCP & Regulation S-P systems and processes are adequate under the circumstances. Members also downloaded Investment Adviser Business Continuity Plan (BCP).

Version/Update: V.2/ August 29, 2017

Total Page Count: 2

Source/Author(s): Connexien