As compliance best practice and/or possibly a requirement under an investment adviser firm's compliance manual, each supervised person of the firm should submit the following items to the firm's chief compliance officer ("CCO") or designee on an annual basis: Each supervised person should confirm in writing that such individual has re-reviewed and understands the firm's […]
As compliance best practice and/or possibly a requirement under an investment adviser firm's compliance manual, each supervised person of the firm should submit the following items to the firm's chief compliance officer ("CCO") or designee on an annual basis: Each supervised person should confirm in writing that such individual has re-reviewed and understands the firm's […]
As compliance best practice and/or possibly a requirement under an investment adviser firm's compliance manual, each supervised person of the firm should submit the following items to the firm's chief compliance officer ("CCO") or designee on an annual basis: Each supervised person should confirm in writing that such individual has re-reviewed and understands the firm's […]
