IA- Written Policies and Procedures Compliance Attestation

The Written Policies and Procedures Compliance Attestation serves as an important part of an investment adviser’s overall compliance program by meeting certain disclosure and reporting requirements under SEC Rule 206(4)-7 and/or similar state requirements.  The Compliance Attestation allows for advisory representatives and/or access persons to confirm receipt and certify compliance with an advisory firm’s current policies and procedures.  Additionally, the Compliance Attestation allows for firms to record, track and monitor compliance certifications among its advisory representatives and/or access persons.  Members also downloaded Investment Adviser Rep Annual Compliance Certification.

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

Total Page Count: 1

Source/Author(s): Connexien