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Ships within 48 hours · Estimated delivery Aug 29 - Sep 3
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Description
IA- Investment Adviser Pre-Clearance Trade Request FormThe Investment Adviser Pre Clearance Trade Request Form serves as an important part of an investment advisers code of ethics and overall compliance program. In accordance with SEC Rule 204A 1 under the Advisers Act, the SEC recommends that advisers require prior written approval before Access Persons can place personal securities transactions involving reportable securities. This Request Form assists in reviewing, pre clearing and comparing reportable
The Investment Adviser Pre-Clearance Trade Request Form serves as an important part of an investment adviser’s code of ethics and overall compliance program. In accordance with SEC Rule 204A-1 under the Advisers Act, the SEC recommends that advisers require prior written approval before Access Persons can place personal securities transactions involving reportable securities. This Request Form assists in reviewing, pre-clearing and comparing reportable trades against Personal Quarterly Securities Transaction Reports and corresponding brokerage statements. Members also downloaded Investment Adviser Code of Ethics or Investment Adviser Rep Annual Compliance Certification.
Version/Update: V.2/February 28, 2019
Total Page Count: 1
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