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Description
Investment Adviser Personal Securities Account Tracking LogThe Investment Adviser Personal Securities Account Tracking Log serves as an important part of a firms overall compliance program in accordance with SEC Rule 206(4) 7. The customizable spreadsheet allows firms to memorialize their receipt and review of associated persons brokerage account statements and includes multiple columns, sections and drop down selections to provide documentary evidence of ongoing monitoring efforts. The Tracking Log also
The Investment Adviser Personal Securities Account Tracking Log serves as an important part of a firm’s overall compliance program in accordance with SEC Rule 206(4)-7. The customizable spreadsheet allows firms to memorialize their receipt and review of associated persons’ brokerage account statements and includes multiple columns, sections and drop-down selections to provide documentary evidence of ongoing monitoring efforts. The Tracking Log also assists firms in addressing certain regulatory focal points often highlighted during the examination process.
Version/Update: V.2/August 31, 2022
Total Page Count/Format: 1/.xlsx (landscape)
Source/Author(s): Connexien
Shipping Notes
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Exchange/Return Notes
- We offer a 30-day return/exchange service after receiving.
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