SEC Registered Investment Adviser Compliance Manual- Proxy Voting Investment Adviser The Compliance Certification for Non-Registered

The Compliance Certification for Non-Registered Covered Persons is a useful certification as part of a broker-dealer’s requirement to establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations

non-public information

2/April 19

The Investment Adviser Written Supervisory Procedures Section on Personnel

SEC Registered Investment Adviser Compliance Manual- Proxy Voting Investment Adviser The Compliance Certification for Non-RegisteredThe Investment Adviser Written Supervisory Procedures Section on Proxy Voting Procedures serves as an important part of a SEC Registered investment adviser firms written supervisory procedures (WSPs) and overall compliance program in accordance with SEC Rule 206(4) 7. The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and includes five (5) separate sections and exhibit list that help firms outline