SEC Registered Investment Adviser Compliance Manual- Privacy Policy
SEC Registered Investment Adviser Compliance Manual- Privacy Policy
Couldn't load pickup availability
The Investment Adviser Written Supervisory Procedures Section on Privacy Policy and Procedures 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 eleven (11) 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.17-3152023
Total Page Count/Format: 25/.docx
Source/Author(s): Connexien
Published by: Connexien
View full details
