Unlocking the Compliance Code: How to Review an Investment Adviser’s Compliance Program

A compliance program is required for investment advisers registered with the SEC. It unlawful for an investment adviser that is registered, or required to be registered, to provide investment advice without a compliance program in place that satisfies certain requirements. Therefore, it is imperative that attorneys in the investment management space understand how to review an investment adviser’s compliance program. Learn more about the key components of a compliance program here.

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Related Content

• Investment Adviser Compliance Policies and Procedures Checklist
  Review this checklist as a starting point for drafting written policies and procedures for a compliance program as prescribed under the Investment Advisers Act of 1940.

• Investment Advisers Act Key Provisions
  Gain insight into the key provisions of the Investment Advisers Act of 1940.

• Pay-to-Play Regulations Governing Investment Advisers
  Utilize this practice note to understand the key provisions of Rule 206(4)-5 of the Investment Advisers Act of 1940 regarding pay-to-play regulations.

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