IA- Due Diligence Checklist for Third-Party Service Providers  NY Office of the Attorney General Library The Investment Adviser Sample Resignation

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

investment advisers

instructions about the advisory account and certain provisions that will govern the advisory relationship

and enforce procedures that are reasonably designed to prevent the misuse of non-public information and associated persons are strictly prohibited from trading on any information that could be considered material

or issuers of securities to terminate the registration of an individual in the appropriate jurisdictions and/or self-regulatory organizations ("SROs")

IA- Due Diligence Checklist for Third-Party Service Providers  NY Office of the Attorney General Library The Investment Adviser Sample ResignationThe customizable updated Due Diligence Checklist for Third Party Service Providers serves as a useful guide as part of an Investment Advisers overall due diligence review process before engaging with third party vendors. 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