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Ships within 48 hours · Estimated delivery Aug 29 - Sep 3
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Description
IA- Investment Adviser Restricted Securities List (RSL)The Investment Adviser Restricted Securities List serves as an important tool for recording, tracking and monitoring compliance with its restricted securities in accordance with Rule 204A 1 under the Advisers Act and the Insider Trading and Securities Fraud Enforcement Act of 1988. The rules require firms to establish, maintain, and enforce procedures that are reasonably designed to prevent the misuse of non public information and associated persons
The Investment Adviser Restricted Securities List serves as an important tool for recording, tracking and monitoring compliance with its restricted securities in accordance with Rule 204A-1 under the Advisers Act and the Insider Trading and Securities Fraud Enforcement Act of 1988. The rules require firms to establish, maintain, and enforce procedures that are reasonably designed to prevent the misuse of non-public information and associated persons are strictly prohibited from trading on any information that could be considered material, non-public information. The List includes sections for recording information for each restricted security to include the appropriate code/reason for restriction type and a signed acknowledgement section. Members also downloaded Investment Adviser Code of Ethics or Investment Adviser Rep Annual Compliance Certification.
Version/Update: V.2/September 27, 2018
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