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| On-Line Audits: Rule 206(4)-7 Investment Adviser Self Audit. |
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Rule 206(4)-7 requires an annual review of an Adviser's compliance program.
National Regulatory Services is pleased to announce the release of our web-based solution. The Investment Adviser Self-Audit provides a framework for your Annual Review, prompting you to test important areas of compliance in your firm, and providing a user-friendly mechanism for recording your findings.
For more information on NRS' Audit Programs contact us. |
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