Investment Adviser Compliance Webinars: Investment Adviser Books and Records Requirements


Time: 19 minutes

Description: During this webinar, RIA Compliance Consultants review Rule 204-2 of the Investment Advisers Act of 1940 to help provide investment advisers with a better understanding of what books and records investment advisers are required to retain and for how long. Our consultants provide an overview of the types of files, documents, and reports that may be requested during a regulatory exam and discuss some of the common deficiencies related to Rule 204-2. Additionally, we provide a brief discussion on the requirement for maintaining records electronically.