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Are there any special books and records requirements specifically related to SEC Rule 206(4)-7?


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Are there any special books and records requirements specifically related to SEC Rule 206(4)-7?

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A SEC registered investment adviser is required to maintain those records documenting its annual assessment of its supervisory and compliance policies and procedures. Additionally, an SEC registered investment adviser must maintain current copies of its supervisory and compliance policies and procedures as well as any revised supervisory and compliance policies and procedures during the past 5 years.

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