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Is an SEC registered investment adviser required to maintain written supervisory and compliance procedures?


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Is an SEC registered investment adviser required to maintain written supervisory and compliance procedures?

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On February 5, 2004, the United States Securities and Exchange Commission adopted SEC Rule 206(4)-7 of the Investment Advisers Act of 1940 requiring SEC registered investment adviser firms to adopt and implement written supervisory and compliance policies and procedures and to designate a chief compliance officer to administer its compliance policies and procedures.

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