Contingency Planning And Rule 206(4)-7

Topics:
Strategic Management Tools
Tags:
Charter Financial Publishing Network,
Compliance,
Contingency Planning,
SEC
Source:
Charter Financial Publishing Network

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Overview: From the executive summary: ‘The Securities and Exchange Commission (SEC) adopted Rule 206(4)-7 in an attempt to protect investors by ensuring that advisors have internal programs to enhance compliance with federal securities laws. The rule requires SEC registered investment advisors to adopt compliance policies and procedures designed to prevent violations of applicable securities laws, including the Investment Advisers Act of 1940. The firm must designate a chief compliance officer to administer all adopted policies and procedures, which then must be reviewed on an annual basis in an attempt to ascertain their adequacy and the effectiveness of their implementation.’ The paper examines this issue in detail.

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Format: HTML | Date: Oct 2004 | Pages: 1

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