Investment Adviser Policy & Procedures Manuals
The expert consultants at Compliance Advisers have created countless customized Investment Adviser Policies & Procedures Manuals. Each manual we develop is customized to reflect the specific business of the adviser as well as all applicable regulatory requirements. Let us create a useful, working manual for your firm by contacting us or Requesting a Customized Quote today!
- New Entitlement Process for Firms Changing Their SAA
- MSRB Proposes Professional Qualification Standards for Municipal Advisors
- FINRA Set to Intensify Scrutiny of Broker Dealer Cybersecurity Practices
- SEC Publishes Frequently Asked Questions about Liability of Compliance and Legal Personnel at Broker-Dealers
- SEC’s No. 1 priority is more adviser examinations
- Securities Industry Expert Witness