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Description
IA- Written Policies and Procedures Compliance AttestationThe Written Policies and Procedures Compliance Attestation serves as an important part of an investment advisers overall compliance program by meeting certain disclosure and reporting requirements under SEC Rule 206(4) 7 and or similar state requirements. The Compliance Attestation allows for advisory representatives and or access persons to confirm receipt and certify compliance with an advisory firms current policies and procedures. Additionally,
The Written Policies and Procedures Compliance Attestation serves as an important part of an investment adviser’s overall compliance program by meeting certain disclosure and reporting requirements under SEC Rule 206(4)-7 and/or similar state requirements. The Compliance Attestation allows for advisory representatives and/or access persons to confirm receipt and certify compliance with an advisory firm’s current policies and procedures. Additionally, the Compliance Attestation allows for firms to record, track and monitor compliance certifications among its advisory representatives and/or access persons. Members also downloaded 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