The List of Designated Supervisory and Registered Personnel serves as an important part of an investment adviser’s overall compliance program in accordance with SEC Rule 206(4)-7 and/or similar state requirements.  The List allows an investment adviser firm to update and maintain a list of names, registrations and effective dates of designated supervisors and their advisory representatives.  The List also covers those designated supervisors responsible for select departments and/or operations in various areas to include, personnel, licensing & registration, standards of conduct, communications, contracts & disclosures, books & records, financial & regulatory reporting, advertising, trading & transactions, privacy procedures, proxy voting and more.

Version/Update: V.2/September 27, 2018

Total Page Count: 1

Source/Author(s): Connexien