SEC Registered Investment Adviser Compliance Manual- Standards of Conduct Resources The Investment Adviser Written Supervisory

The Investment Adviser Written Supervisory Procedures Section on Proxy Voting Procedures serves as an important part of a SEC Registered investment adviser firm’s written supervisory procedures (WSPs) and overall compliance program in accordance with SEC Rule 206(4)-7

and investment options and rollover recommendations

filing and delivery requirements as well as sample language on each of the required sections as a guide for further customization

The WSP Section includes ten (10) separate sections that help firms outline effective supervisory processes regarding compliance with DOL’s Impartial Conduct Standards and sample descriptions of supervisory review processes that can be further customized to align with your specific business model

(See Brad Callen's Library for additional resources)

SEC Registered Investment Adviser Compliance Manual- Standards of Conduct Resources The Investment Adviser Written SupervisoryThe Investment Adviser Written Supervisory Procedures Section on Standards of Conduct 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 ten (10) separate sections and exhibit list that help firms outline