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a call tree for internal notifications and a list of federal and state regulatory agency contacts for external notifications
3/ July 15
The Broker-Dealer Expense Sharing Agreement (ESA) Template is a useful tool for evidencing compliance with the financial responsibility rules relating to cost-sharing
The Training Packet also includes an attendance sheet and an annual compliance certification with thirteen separate sections for registered and associated persons to complete as documentary evidence of completion
Members also downloaded 2020 Investment Adviser Compliance Calendar and Investment Adviser Monthly Compliance Review Checklist
IA- Small Firm Investment Adviser Business Continuity Plan (BCP) NY Office of the Attorney General Library a call tree for internalThe Small Firm Investment Adviser Business Continuity Plan (BCP) serves as a useful template for satisfying certain requirements for outlining and maintaining procedures relating to significant business disruptions. The BCP includes specific areas that address operational back up procedures and processes as well as the communication and notification processes with other counter parties and federal and or state regulatory agencies. The BCP also
