The SEC Registered Investment Adviser Compliance Manual (with Exhibits) serves as an important part of an investment adviser’s overall compliance program by meeting certain requirements under SEC Rule 206(4)-7 and/or similar state requirements.  The customizable Manual allows firms to memorialize their compliance and supervisory processes and includes twelve separate sections and twenty corresponding exhibits in areas such as licensing & registration, supervision, standards of conduct, advertising, agreements & contracts, accounts & transactions, privacy, proxy voting and others to include new Form CRS and Marketing Rule requirements.  The Manual is designed to address certain regulatory focal points often highlighted during SEC regulatory examinations.  Members can also view our entire collection at SEC Reg. IA WSP Library. Members also viewed SEC Registered Investment Adviser Compliance and Supervisory Procedure Manual (without Exhibits).

Version/Update: V.16/May 1, 2021

Total Page Count/Format: 200/.docx