The Private Securities Transaction Disclosure Statement serves as an important part of an investment adviser’s overall compliance program by meeting certain disclosure and reporting requirements under SEC Rule 206(4)-7 and Rule 204A-1 and/or applicable state requirements.  Investment adviser firms must maintain a system to monitor any securities related transactions conducted outside of the firm that involve selling compensation.  The Disclosure Statement allows for advisory representatives and/or access persons to disclose and report private securities transactions to the firm for review and ongoing monitoring in compliance with applicable requirements. Members also downloaded Investment Adviser Code of Ethics (COE) or Investment Adviser Rep Annual Compliance Certification.

Version/Update: V.2/September 27, 2018

Total Page Count: 1

Source/Author(s): Connexien