IA- Investment Adviser Quarterly Compliance Review Checklist Investment Adviser The Broker-Dealer Expense Sharing Agreement

The Broker-Dealer Expense Sharing Agreement (ESA) Template is a useful tool for evidencing compliance with the financial responsibility rules relating to cost-sharing

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and with applicable FINRA rules

or cause to be submitted

Source/Author(s): Connexien

IA- Investment Adviser Quarterly Compliance Review Checklist Investment Adviser The Broker-Dealer Expense Sharing AgreementThe Investment Adviser Quarterly Compliance Review Checklist serves as an important part of an investment advisers overall compliance program in accordance with SEC Rule 206(4) 7 (Compliance Procedures and Practices) and or similar state requirements. The Quarterly Compliance Review Checklist helps adviser firms organize and conduct a series of quarterly compliance reviews and certifications to assess their level of compliance that includes twenty