Shipping Estimate
USA
- USA
- CAN
- USA
- CAN
Ships within 48 hours · Estimated delivery Jul 6 - Jul 11
Promo Codes Available:
For Your Every Summer RSVP, with Code: SUMMER15
Description
SEC Registered Investment Adviser Compliance Manual- Exhibit 1.01 List of Supervisory and Reg. PersonnelThe List of Supervisory and Registered Personnel Exhibit serves as an important part of an investment advisers overall compliance program in accordance with SEC Rule 206(4) 7. The List allows for an adviser firm to detail a current list of the names, registrations, and effective dates of supervisory and registered investment advisory personnel who are affiliated with the Firm to include direct and indirect reports regarding supervisory
The List of Supervisory and Registered Personnel Exhibit serves as an important part of an investment adviser’s overall compliance program in accordance with SEC Rule 206(4)-7. The List allows for an adviser firm to detail a current list of the names, registrations, and effective dates of supervisory and registered investment advisory personnel who are affiliated with the Firm to include direct and indirect reports regarding supervisory responsibilities and oversight. Members can also view our entire collection at SEC Reg. IA WSP Library.
Version/Update: V.3-03312023
Total Page Count/Format: 1/.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