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Ships within 48 hours · Estimated delivery Aug 16 - Aug 21
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Description
IA- Investment Adviser Paid Testimonial or Endorsement ChecklistThe Investment Adviser Paid Testimonial and or Endorsement Checklist serves as an important part of an investment advisers efforts to comply with the SECs new combined marketing Rule 206(4) 1 (Marketing Rule) in accordance with Release No. IA 5653; File No. S7 21 19; effective date May 4, 2021. The SECs new Marketing Rule requires investment advisers that provide compensation, directly or indirectly, for testimonials or endorsements, must comply with
The Investment Adviser Paid Testimonial and/or Endorsement Checklist serves as an important part of an investment adviser’s efforts to comply with the SEC’s new combined marketing Rule 206(4)-1 (“Marketing Rule”) in accordance with Release No. IA-5653; File No. S7-21-19; effective date May 4, 2021. The SEC’s new Marketing Rule requires investment advisers that provide compensation, directly or indirectly, for testimonials or endorsements, must comply with certain conditions, unless otherwise exempt, such as required disclosures, oversight & compliance, and review for disqualification. Members also viewed SEC Registered Investment Adviser Compliance and Supervisory Procedure Manual (with Exhibits) and SEC Registered Investment Adviser Compliance Manual (without Exhibits)
Version/Update: V.1/May 1, 2021
Total Page Count: 2/.docx
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