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(See Brad Callen's Library for additional resources)
The Broker-Dealer New Membership Application (NMA) Preparation & Filing Checklist is an important resource and time-saver for identifying
The Investment Adviser Restricted Securities List serves as an important tool for recording
The WSP Section includes ten (10) separate sections that help firms outline effective supervisory processes regarding compliance with DOL’s Impartial Conduct Standards and sample descriptions of supervisory review processes that can be further customized to align with your specific business model
SEC Registered Investment Adviser Compliance Manual- Standards of Conduct Resources (See Brad Callen's Library forThe Investment Adviser Written Supervisory Procedures Section on Standards of Conduct serves as an important part of a SEC Registered investment adviser firms 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 ten (10) separate sections and exhibit list that help firms outline
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