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