Shipping Estimate
USA
- USA
- CAN
- USA
- CAN
Ships within 48 hours · Estimated delivery Jul 12 - Jul 17
Promo Codes Available:
For Your Every Summer RSVP, with Code: SUMMER15
Description
SEC Registered Investment Adviser Compliance Manual- Impartial Conduct StandardsThe Investment Adviser 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 SEC Rule 206(4) 7 & the 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
The Investment Adviser Written Supervisory Procedures Section on Impartial Conduct Standards serves as an important part of a firm’s written supervisory procedures (WSPs) and overall compliance program in accordance with SEC Rule 206(4)-7 & the Department of Labor’s (DOL’s) 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 with DOL’s Impartial Conduct Standards. Select sections include sample descriptions of supervisory review processes that can be further customized to align with your specific business model. Members can also view our entire collection at SEC Reg. IA WSP Library. Members also downloaded the Rollover Due Diligence Form for DOL PTE 2020-02, Written Acknowledgement of Fiduciary Status under DOL PTE 2020-02.
Version/Update: V.2/May 31, 2022
Total Page Count/Format: 27/.docx
Source/Author(s): Connexien
Shipping Notes
- Free Standard Shipping on $100+ Orders to the USA.
- Except Preorder products are shipped in 48 hours.
- Delivery to the USA:
- Standard Shipping : 3-10 business days
- If time is of the essence, please consider selecting expedited delivery for faster service.
Exchange/Return Notes
- We offer a 30-day return/exchange service after receiving.
- Final sale items are not eligible for returns or exchanges.
- To process your return/exchange, please contact us at [email protected]
- Please click here for more details>>> Return & Exchange Policy