The Updated 2022 Investment Adviser Year-End Compliance Checklist serves as an important part of an investment adviser’s overall compliance program under SEC Rule 206(4)-7 and/or similar state requirements. The Checklist allows investment adviser firms to record and reconcile compliance tasks & filings that are required throughout the year to close any compliance gaps and/or allow for completion of any remaining requirements.  The Year-End Compliance Checklist includes seventeen separate categories with corresponding compliance tasks and responsibilities along with the related due dates and completion dates. Members also viewed/downloaded 2022 Investment Adviser Annual Compliance Calendar Update.

Version/Update: V.8/April 12, 2022

Total Page Count/Format: 7/.docx

Source/Author(s): Connexien