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Description
IA- Investment Adviser Books and Records Retention ListThe Investment Adviser Books and Records Retention List serves as an important part of an investment advisers efforts to maintain required books and records in accordance with SEC Rule 204 2 and or applicable state requirements. SEC Rule 204 2 requires that every investment adviser registered or required to be registered under section 203 of the Act shall make and keep true, accurate and current books and records relating to its investment advisory
The Investment Adviser Books and Records Retention List serves as an important part of an investment adviser’s efforts to maintain required books and records in accordance with SEC Rule 204-2 and/or applicable state requirements. SEC Rule 204-2 requires that every investment adviser registered or required to be registered under section 203 of the Act shall make and keep true, accurate and current books and records relating to its investment advisory business. The Retention List includes eleven separate categories of records along with a description of each record and corresponding retention requirements.
Version/Update: V.2/November 7, 2018
Total Page Count: 7
Source/Author(s): Connexien
Shipping Notes
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Exchange/Return Notes
- We offer a 30-day return/exchange service after receiving.
- Final sale items are not eligible for returns or exchanges.
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