Policies and Procedures for Investment Advisors
An all-inclusive solution to assembling and updating investment advisor manuals required by regulators, Policies and Procedures for Investment Advisors provides expert guidance in creating a compliance manual that meets SEC Rule 206(4)-7 requirements. Authored by a team of investment management experts, Policies and Procedures for Investment Advisors allows compliance professionals to create, revise, publish, navigate and distribute a compliance manual easily and efficiently.
Policies and Procedures for Investment Advisors is the only solution that combines practical and industry proven know how with the flexibility to integrate your existing materials into one centralized solution
Policies and Procedures for Investment Advisors helps you:
- Assemble and update investment advisor supervisory procedures required by regulators
- Edit and customize your content in a web-based, Word-friendly environment
- Seamlessly integrate your existing content
- Approve and publish your manual throughout your organization online
- Monitor and organize all key regulatory and filing deadlines
Complete Regulatory Coverage
Policies and Procedures Investment Adviser Compliance Manual covers the
Gramm Leach Bliley Act, Insider Trading and Securities Fraud Enforcement Act of 1933, Investment Advisers Act of 1940, Investment Company Act of 1940, Regulation S-P, Securities Act of 1933 and the USA PATRIOT Act, among others.
User Friendly, Web-Based Solution
Web-based editing in a Word-friendly environment gives you the ability to make changes and customize your content. It also enables multiple authorized editors to work on different sections of the same manual – directly on the web. Approve edits, publish a new version and securely distribute your manual to your entire organization online – easily and effortlessly.
Our powerful Policies and Procedures Wizard guides you through the manual assembly process. Each question is designed to gather information about your firm in order to provide customized content for your manual. Policies and Procedures for Investment Advisors allows you to seamlessly integrate your existing content as needed. Once created, our online editing platform allows you to easily apply firm-specific information to you compliance manual.
Updates are published regularly, eliminating the need to monitor and interpret all the regulatory changes that could impact Investment Advisors. Our service provides you with the practical guidance you need to confidently manage your policies and procedures.
The Investment Adviser Manual contains 14 comprehensive chapters covering the wide variety of compliance issues that will confront you in your day-to-day operations, including:
- Marketing (do’s and don’ts)
- Employees (including personal trading)
- New Clients and Anti-Money Laundering
- Existing Clients and Privacy Procedures
- Formation (step-by-step fund set-up procedures)
- Investment Management (risk monitoring)
Archiving and Disaster Recovery
Previous versions of your manual are indexed and archived according to date for easy reference. The manuals are securely hosted, ensuring that your most important work is safeguarded and available at any time.
Newsletter and Calendar
Our quarterly newsletter provides in-depth explanation and insight on hot topics
and recent regulatory changes. The Compliance Calendar allows you to monitor and organize all key regulatory and filing deadlines in one place.
Proven Compliance Expertise
Along with our team of professionals, Policies and Procedures for Investment Advisors is authored by a former SEC attorney who has advised many of the nation’s largest investment advisory firms on compliance issues. Applying this knowledge and expertise, Policies and Procedures for Investment Advisors delivers the most complete, succinct and easy-to-read compliance procedures on the market today.
Policies and Procedures for Investment Advisors provides expert guidance in creating a compliance manual that meets SEC Rule 206(4)-7 requirements.
We welcome your inquiries. To speak with a Wolters Kluwer Financial Services Representative:
- In the US, email us at CRNInfo@wolterskluwer.com or call 866.221.0404.
- In the UK, email us at Uksales@wolterskluwer.com or call 0800.840.1160.