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Description
IA- Investment Adviser Rep Annual Compliance CertificationThe Investment Adviser Representative Annual Compliance Certification serves as an important part of an investment advisers overall compliance program in accordance with SEC Rule 206(4) 7 (Compliance Procedures and Practices). As part of a firms annual compliance meeting, this certification process allows for supervised persons to complete, sign and confirm compliance with such areas as political contributions, outside business activities, customer
The Investment Adviser Representative Annual Compliance Certification serves as an important part of an investment adviser’s overall compliance program in accordance with SEC Rule 206(4)-7 (Compliance Procedures and Practices). As part of a firm’s annual compliance meeting, this certification process allows for supervised persons to complete, sign and confirm compliance with such areas as political contributions, outside business activities, customer complaints & disclosures, private securities transactions, personal securities accounts; insider trading, gifts & gratuities, use of non-member email, social media, annual holdings reporting, electronic communications, code of ethics, supervisory procedures and termination procedures.
Version/Update: V.2/October 31, 2017
Total Page Count: 11
Source/Author(s): Connexien
Shipping Notes
- Free Standard Shipping on $100+ Orders to the USA.
- Except Preorder products are shipped in 48 hours.
- Delivery to the USA:
- Standard Shipping : 3-10 business days
- If time is of the essence, please consider selecting expedited delivery for faster service.
Exchange/Return Notes
- We offer a 30-day return/exchange service after receiving.
- Final sale items are not eligible for returns or exchanges.
- To process your return/exchange, please contact us at [email protected]
- Please click here for more details>>> Return & Exchange Policy