This is a sample WSP/CoE section – ADV 3 which is an investment adviser compliance policy and set of procedures related to an SEC registered investment adviser’s obligation to file, deliver and update the Form ADV Part 3/Form CRS to retail investors.
This sample compliance manual section should be considered as a starting point; the investment adviser firm will need to customize this sample compliance manual section to its business model and policies and procedures. Please see our disclosure about the limitations of sample form at http://www.ria-compliance-consultants.com/ria_express_investment_advisor_compliance_tools/sample-forms/
Included with Bronze, Silver, Gold & Platinum Packages. Initially posted in May 2020.