The Updated 2021 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 2021 Investment Adviser Annual Compliance Calendar Mid-Year Update.

Version/Update: V.8/May 1, 2021

Total Page Count/Format: 7/.docx

Source/Author(s): Connexien