SEC Registered Investment Adviser Compliance Manual- Advertising & Marketing Investment Adviser as well as provide information

as well as provide information on market holidays and events that may affect investment adviser business operations

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 Cybersecurity Procedures include seventeen separate sections to address New York requirements regarding cybersecurity in addition to corresponding exhibits such as Electronic Communications Policy

The 2019 Investment Adviser Year-End Compliance Checklist serves as an important part of an investment adviser’s overall compliance program under SEC Rule 206(4)-7 and/or similar state requirements

Updated version at The Updated 2021 Investment Adviser Year-End Compliance Checklist

SEC Registered Investment Adviser Compliance Manual- Advertising & Marketing Investment Adviser as well as provide informationThe 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