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| Compliance and Procedures Manual and Code of Ethics for Registered Investment Advisers. This manual is designed for a “generic” type of registered adviser and the regulatory authorities do not favor a “boiler plate” presentation, users are urged to devote some time to customizing this manual so that it addresses the compliance needs of the user’s particular business. In that way the manual will achieve its maximum effectiveness as a compliance tool. Includes Anti-Money Laundering procedures, Business Continuity Plan, Code of Ethics, Privacy Notice and Procedures, sample Client Agreement and more. Available in Microsoft Word only. |
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