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The Investment Adviser New Account Client Profile Form serves as an important part of an investment adviser’s overall new client onboarding process
7/April 19
and the materials or information reviewed to support that the recommendation was in the best interest of the client
The New Account Client Profile form collects information about an advisory client
the Electronic Communications Policy Disclosure Statement is designed to communicate a broker-dealer’s set of policies regarding the use of electronic communications as well as obtain certification of compliance with respect to such policies in accordance with FINRA rules and supporting regulatory notices
Broker-Dealer Compliance Manual Section 13- Impartial Conduct Investment Adviser The Investment Adviser New AccountThe Broker Dealer Written Supervisory Procedures Section on Impartial Conduct Standards serves as an important part of a firms written supervisory procedures (WSPs) and overall compliance program in accordance with FINRA Rule 3110 & Department of Labors (DOLs) adopted Prohibited Transaction Exemption 2020 02 (PTE 2020 02). The WSP Section includes ten (10) separate sections that help firms outline effective supervisory processes regarding compliance
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