Financial advisor compliance manual

 · The Financial Industry Regulatory Authority Inc. closed out by hitting LPL Financial, the largest independent broker-dealer in the industry, last .  · This Compliance and Supervisory Manual is designed to provide a framework under which SFA and its designated supervisory personnel (referred to herein as “Supervisory Principals”) can fulfill its obligations as a registered investment adviser. Manual of Written Supervisory Procedures Compliance Communications SFA’s ADV Part 2A and Appendix 1 Disclosure Brochures. Information specific to each of the items above is detailed below. All referenced documents are available at SFA’s financial advisor’s website, www.doorway.ru 1.

In general, this Compliance Manual's purpose is twofold. First, the Manual provides the Firm's advisory personnel with an introduction to the laws, rules and Code governing investment adviser activities. Second, the Manual provides a framework. The compliance requirements for an RIA are established in SEC Rule (4)-7 under the Investment Advisers Act of (Investment Advisers Act). While not intendedas an all -inclusive list, below are twelve significant elements that should be included in your Adviser's compliance program. 1. The Strategic Financial Alliance, Inc.'s Compliance with the Investment Advisers Act of SFA is registered dually as a Financial Industry Regulatory Authority ("FINRA")-member broker/dealer and as an investment adviser with the U.S. Securities and Exchange Commission ("SEC").

Compliance Manual or Manual: This document, with the compilation of the Compliance Policies, available to the general public. PEP ou PPE: Politically Exposed Person, in accordance with the definition in CVM Instruction / Securities: shares, convertible securities (debentures), warrants, derivatives (exchange- or. This document serves as GP’s written policy and procedures and is referred to as the “Compliance Manual”. The purpose of this Compliance Manual is to create a strong system of controls designed to prevent violations of the various securities laws and to protect the interests of GP and its clients. The purpose of the Compliance Manual is to foster, among other things, improved compliance by clarifying the compliance obligations of GP and its GP Persons. Advisers Act of This Investment Adviser Compliance and Procedures Manual (the “IA Manual”) is designed to provide FA employees and independent contractors with the basic rules and policies for FA’s business.