Annual Compliance Reviews for Investment Advisers

IA Compliance & Consulting can help Advisers stay in compliance with Rule 206(4)-7 of the Investment Advisers Act of 1940. The Woodlands, Texas (PRWEB) September 27, 2011 IA Compliance & Consulting can help Advisers stay in compliance with Rule 206(4)-7 of the Investment Advisers Act of 1940. SEC Rule 206(4)-7 requires federally registered investment advisors to conduct a review at least annually to determine the adequacy and effectiveness of the implementation of the investment advisor’s written policies and procedures. The following the steps listed below are not an exhaustive
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