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along with the corresponding investment advisory contract and other accompanying or supplemental documents
The Training Packet also includes an attendance sheet and an annual compliance certification with thirteen separate sections for registered and associated persons to complete as documentary evidence of completion
The Annual Compliance Calendar is intended to keep investment advisers informed of date specific and event-driven compliance reporting requirements
officers and employees be fingerprinted and shall submit
Total Page Count/Format: 27/
IA- Small Firm Investment Adviser Business Continuity Plan (BCP) NY Office of the Attorney General Library along with the corresponding investmentThe Small Firm Investment Adviser Business Continuity Plan (BCP) serves as a useful template for satisfying certain requirements for outlining and maintaining procedures relating to significant business disruptions. The BCP includes specific areas that address operational back up procedures and processes as well as the communication and notification processes with other counter parties and federal and or state regulatory agencies. The BCP also
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