SEC Registered Investment Adviser Compliance Manual- Customer Accts. & Trans.

The Investment Adviser Written Supervisory Procedures Section on Customer Accounts, Trading and Transactions serves as an important part of a SEC Registered investment adviser firm’s written supervisory procedures (WSPs) and overall compliance program in accordance with SEC Rule 206(4)-7.  The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and includes fourteen (14) separate sections and exhibit list that help firms outline effective supervisory processes that can be further customized to align with their specific business model. Members can also view our entire collection at SEC Reg. IA WSP Library.

Version/Update: V.17-03152023

Total Page Count/Format: 20/.docx

Source/Author(s): Connexien