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Members also downloaded 2020 Investment Adviser Compliance Calendar and Investment Adviser Monthly Compliance Review Checklist
3/ July 15
The Annual Compliance Calendar is intended to keep investment advisers informed of date specific and event-driven compliance reporting requirements
along with the corresponding investment advisory contract and other accompanying or supplemental documents
IA- Small Firm Investment Adviser Business Continuity Plan (BCP) NY Office of the Attorney General Library Members also downloaded 2020 InvestmentThe Small Firm Investment Adviser Business Continuity Plan (BCP) serves as a useful template for satisfying certain requirements for outlining and maintaining procedures relating to significant business disruptions. The BCP includes specific areas that address operational back up procedures and processes as well as the communication and notification processes with other counter parties and federal and or state regulatory agencies. The BCP also
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