IA- 2021 Investment Adviser Annual Compliance Calendar Mid-Year Update Investment Adviser The Attestation is used for

The Attestation is used for registered

7/April 19

The information in the 2023 State Requirements List is categorized by state and includes each state regulatory agency’s mailing address and contact information

BI Supervisory Review of Client Recommendations form serves as a tool to document supervisory reviews related to Reg BI recommendations

All answers provided by the broker-dealer allow for the reviewer to further focus the testing processes and better analyze points of risk related to the AML independent test

IA- 2021 Investment Adviser Annual Compliance Calendar Mid-Year Update Investment Adviser The Attestation is used forThe 2021 Investment Adviser Annual Compliance Calendar Mid Year Update serves as a valuable resource guide when preparing, planning and updating your annual compliance program. The Annual Compliance Calendar is intended to keep investment advisers informed of date specific and event driven compliance reporting requirements, filing deadlines and rule references, as well as provide information on market holidays and events that may affect investment