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Investment adviser compliance manual

This compliance manual is provided to Investment Advisors Asset 2025

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The Compliance Manual outlines the policies and procedures for Investment Advisors Asset Management, LLC to ensure compliance with the Advisers Act and related regulations. It includes guidelines on the use of a compliance manual, responsibilities of key personnel, supervision of independent managers, maintenance of records, client interactions, and adherence to ethical standards. The manual emphasizes the importance of a strong compliance culture, training for personnel, and proper handling of client information while detailing specific protocols for various operational aspects such as trading practices, marketing communications, and regulatory filings.

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We have answers to the most popular questions from our customers. If you can't find an answer to your question, please contact us.

What is compliance in investment management?

Investment compliance refers to adhering to laws, regulations and internal policies and procedures that govern the investment sector.

What is the code of conduct for an investment adviser?

We shall act honestly, fairly and in the best interests of our clients and in the integrity of the market. We shall act with due skill, care and diligence in the best interests of our clients and shall ensure that our advice is offered after thorough analysis and taking into account available alternatives.

What is the compliance rule for investment advisors?

SEC Rule 204A-1 Under this rule, RIAs are required to establish and enforce a written code of ethics. All supervised persons must receive a written copy of this code. The rule also specifies that access persons must submit securities holdings and transaction reports to the CCO.

What are the requirements for investment advisor?

Registration as an Investment Advisor 1. Meet the eligibility criteria: You must have a relevant degree and work experience in related fields. 2. Passing the NISM certification exam: The NISM-Series-X-B: Investment Adviser (Level 1) certification exam is a stepping stone towards becoming an investment advisor.

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