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The updated Due Diligence Checklist is designed to address keys areas of interest regarding outsourcing considerations as well as select regulatory focal points addressed in SEC Exam Priorities Reports and Risk Alerts in addition to new sections on compliance
filing deadlines and rule references
The Checklist allows the reviewer to conduct a series of monthly compliance reviews to determine and properly assess a firm’s level of compliance on a regular basis
BI/Form CRS) to address regulatory focal points often highlighted during the investment adviser regulatory examination process
The Broker-Dealer Consolidated Customer Account List serves as a valuable list for recording a firm’s customer account and supporting information in a consolidated format often requested by FINRA for small firms with limited business activities or product lines
SEC Registered Investment Adviser Compliance Manual- Privacy Policy NY Office of the Attorney General Library The updated Due Diligence ChecklistThe Investment Adviser Written Supervisory Procedures Section on Privacy Policy and Procedures 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 eleven (11) separate sections and exhibit list that help firms
