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as well as provide information on market holidays and events that may affect investment adviser business operations
The Form CRS Relationship Summary Template for Broker-Dealers is part of SEC’s Regulation Best Interest (Reg BI) due June 30
The Outside Business Activities (OBA) Disclosure Statement 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 Rule 204A-1 and/or similar state requirements
Total Page Count/Format: 4/
The Investment Adviser New Account Client Profile Form serves as an important part of an investment adviser’s overall new client onboarding process
Reg BI Supervisory Review of Client Recommendations Investment Adviser as well as provide informationCompliance with Regulation Best Interest (Reg. BI) continues to be a concern of regulators. The Reg. BI Supervisory Review of Client Recommendations form serves as a tool to document supervisory reviews related to Reg BI recommendations. The form documents if the representative exercised reasonable diligence, care, and skill when making the recommendation by guiding the reviewer through questions to evaluate the recommendation and review complex
