Investment Advisers Act rule 206(4)-7, 17 C.F.R. Sec. 275.206(4)- 7, Compliance procedures and practices.

OMB 3235-0585

OMB 3235-0585

Rule 206(4)-7 requires investment advisers registered with the Commission to adopt and implement compliance policies and procedures, to review those policies and procedures annually, and to designate a chief compliance officer.

The latest form for Investment Advisers Act rule 206(4)-7, 17 C.F.R. Sec. 275.206(4)- 7, Compliance procedures and practices. expires 2022-08-31 and can be found here.


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