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Updated version at The Updated 2021 Investment Adviser Year-End Compliance Checklist
The list also provides a detailed description of each record along with the corresponding retention requirements and specific rule reference
The Small Firm Broker-Dealer Annual Compliance Meeting & Training Packet serves as a ready-made template to help small firms meet the requirements under FINRA Rule 3110(a)(7)
The 2019 Investment Adviser Year-End Compliance Checklist serves as an important part of an investment adviser’s overall compliance program under SEC Rule 206(4)-7 and/or similar state requirements
SEC Registered Investment Adviser Compliance Manual- Advertising & Marketing Investment Adviser Updated version at The UpdatedThe Investment Adviser Written Supervisory Procedures Section on Advertising and Marketing 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 nine (9) separate sections and exhibit list that help firms outline
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