Shipping Estimate
USA
- USA
- CAN
- USA
- CAN
Ships within 48 hours · Estimated delivery Jul 5 - Jul 10
Promo Codes Available:
For Your Every Summer RSVP, with Code: SUMMER15
Description
SEC Registered Investment Adviser Compliance Manual- General SupervisionThe SEC Registered Investment Adviser Compliance Manual Section on General Supervision serves as an important part of a SEC Registered investment adviser firms written supervisory procedures (WSPs) and overall compliance program in accordance with SEC Rule 206(4) 7. The customizable Section allows firms to memorialize their compliance and supervisory processes and includes nine (9) separate sections and an exhibit list that help firms outline
The SEC Registered Investment Adviser Compliance Manual Section on General Supervision serves as an important part of a SEC Registered investment adviser firm’s written supervisory procedures (WSPs) and overall compliance program in accordance with SEC Rule 206(4)-7. The customizable Section allows firms to memorialize their compliance and supervisory processes and includes nine (9) separate sections and an exhibit list that help firms outline effective supervisory processes that can be further customized to align with their specific business model. Members can also view our entire collection at SEC Reg. IA WSP Library.
Version/Update: V.17-03152023
Total Page Count/Format: 13/.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