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Description
IA- Florida State Registered Investment Adviser Compliance ManualThe Florida State Registered Investment Adviser Compliance & Supervisory Procedures (Compliance Manual) is designed for investment adviser firms to meet the minimum responsibilities regarding the establishment of a compliance program and the supervision of their investment adviser representatives in accordance with Florida Statutes and the Florida Administrative Code. The Compliance Manual includes thirteen separate sections to address regulatory
The Florida State Registered Investment Adviser Compliance & Supervisory Procedures (Compliance Manual) is designed for investment adviser firms to meet the minimum responsibilities regarding the establishment of a compliance program and the supervision of their investment adviser representatives in accordance with Florida Statutes and the Florida Administrative Code. The Compliance Manual includes thirteen separate sections to address regulatory focal points often highlighted during Florida state examinations in addition to sixteen corresponding exhibits.
Version/Update: V.2/September 5, 2017
Total Page Count: 140
Source/Author(s): Connexien
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