Broker-Dealer Compliance Manual Section 13- Impartial Conduct Investment Adviser and the materials or information

and the materials or information reviewed to support that the recommendation was in the best interest of the client

The Investment Adviser Written Supervisory Procedures Section on Standards of Conduct serves as an important part of a SEC Registered investment adviser firm’s written supervisory procedures (WSPs) and overall compliance program in accordance with SEC Rule 206(4)-7

The OBA Disclosure Statement allows for registered advisory representatives and/or access persons to disclose and report all applicable outside business activities to the advisory firm for review and ongoing monitoring of actual and/or perceived conflicts of interest in compliance with applicable requirements

The Investment Adviser New Account Client Profile Form serves as an important part of an investment adviser’s overall new client onboarding process

IA WSP Library

Broker-Dealer Compliance Manual Section 13- Impartial Conduct Investment Adviser and the materials or informationThe Broker Dealer Written Supervisory Procedures Section on Impartial Conduct Standards serves as an important part of a firms written supervisory procedures (WSPs) and overall compliance program in accordance with FINRA Rule 3110 & Department of Labors (DOLs) adopted Prohibited Transaction Exemption 2020 02 (PTE 2020 02). The WSP Section includes ten (10) separate sections that help firms outline effective supervisory processes regarding compliance