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As the obligations to supervise electronic communications are based largely on the content and audience of the message rather than the electronic form of the communication
Members also downloaded Broker-Dealer Notification of Accounts at Other Broker-Dealers and Financial Institutions and Investment Adviser Disclosure of Accounts at Broker-Dealers and Other Financial Institutions
The list also provides a detailed description of each record along with the corresponding retention requirements and specific rule reference
as well as provide information on market holidays and events that may affect investment adviser business operations
The Investment Adviser Sample Resignation Letter serves as a useful template for formal notification regarding the resignation and voluntary termination of an advisory representative and the corresponding request for a copy of his/her full Form U5 filing upon termination
SEC Registered Investment Adviser Compliance Manual- Advertising & Marketing Investment Adviser As the obligations to superviseThe Investment Adviser Written Supervisory Procedures Section on Advertising and Marketing serves as an important part of a SEC Registered investment adviser firms written supervisory procedures (WSPs) and overall compliance program in accordance with SEC Rule 206(4) 7. The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and includes nine (9) separate sections and exhibit list that help firms outline
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