This WSP/CoE Section Update – IAR Licensing in NY is a sample compliance manual section for a state registered investment adviser firm in New York regarding the new investment adviser representative (“IAR”) licensing or registration requirements. This sample includes 2 different versions: (i) a state registered firm version; and (ii) a SEC registered firm version.
For additional details about the State of New York’s new registration requirements for investment adviser representatives, please review the following webpages:
New York Adopts Investment Adviser Representative Registration Rule – December 7, 2020
Proposed Rule to License New York Investment Adviser Representatives – April 15, 2020
New York Investment Advisor Firm & Investment Adviser Representative State Registration Requirements
Form U4 FAQs
Included with Bronze; Silver; Gold and Platinum Packages. Initially posted in February 2021.
If this product involves the purchase of a WSP/CoE update section on a la cart basis (not part of an annual compliance program engagement), the purchaser will have three ways to access this sample document: 1) Following payment, the purchaser will be redirected to a thank you page with a button to download the sample document; 2) The purchaser will receive an invoice email with a link to download the sample document; 3) If the purchaser has an account or elects to create one at the time of checkout, this sample document can be accessed from the “Downloads” section of purchaser’s My Account page. The purchaser will have 90 days to download sample document, which is limited to 3 downloads during this period.
If the individual intending to make a purchase is affiliated with a firm which has an active engagement with RIA Compliance Consultants for an annual compliance program (“ACP”), WSP/CoE update sectiond are available as part of ACP depending upon the package and do not need to be purchased separately. To access your WSP/CoE section updates, please log into our Knowledge Base at https://www.ria-compliance-consultants.com/my-account/ to download such section update. For detailed instructions on how to access the KnowledgeBase, please refer to the following webpage: KnowledgeBase Instructions
If you experience any issues when making the purchase, please email firstname.lastname@example.org .
To the extent that your investment adviser firm currently has an active Annual Compliance Program (“ACP”) engagement with RIA Compliance Consultants, Inc., this sample document may be available as part of that engagement depending upon your firm’s ACP package (e.g., Bronze, Silver, Gold, Platinum and Titanium). Please refer to the “Description” tab within the product to determine whether the sample document is included as part of your firm’s ACP package. If included and your firm (via the individual making payments in our system) has designated you as a team member in our Knowledge Base, please log into our Knowledge Base to download the sample document. (For detailed instructions on how to access the Knowledge Base, please refer to the following webpage: Knowledge Base Instructions.) If not included in your ACP package, you can make an a la carte purchase of the sample document through this product in our online store.
Only logged in customers who have purchased this product may leave a review.
There are no reviews yet.