Investment advisor procedure manual

Investment Advisor policies and procedures -SEC Rule (4)-7 requires investment advisors to put in place compliance manuals that are reasonably tailored to the advisor’s business practices; appoint a Chief Compliance Officer to have oversight of the policy and procedures and to perform on at least an annual basis a review of those policy.  · The investment adviser should require all investment adviser representatives (“IAR”) and employees to review the supervisory and compliance policies and procedures and have each investment adviser representative and employee sign an acknowledgement indicating that he or she has read this compliance manual, understands it and agrees to abide. Investment Advisor Field Representative Policy and Procedures Manual This is a printed version of the online Investment Adviser Field Representative Policy and Procedures Manual. It was printed on 12/04/ at Policies and procedures are current as of date and time of printing. Table of Contents: 1. Introduction 2. IAR Registration

This Compliance Policies and Procedures Manual (the "Compliance Manual" or " Policies and Procedures") has been developed to assist all Supervised Persons of Woodstock in complying with the provisions of the Investment Advisers Act of (the "Advisers Act"),and other advisory-related statutes and rules issued or adopted by the. ComplianceGuardian™, Policies and Procedures Management swiftly puts your firm's policies and procedures in place and on solid ground. Using ComplianceGuardian™ your firm can create required policies and procedures or code of ethics including attestations. Manual content is written and updated quarterly by NRS compliance experts to ensure that your firm meets current regulatory. RESOURCES. FORM ADV Forms, instructions and a glossary are available here. CONTACT INFORMATION For technical or financial assistance relating to investment adviser firms or representatives, callor e-mail FINRA's Gateway Call Center at () State registrants, and SEC-registered firms with IA representative questions, can obtain general assistance from NASAA by calling ()

pursuant Rule under the Investment Advisers Act of , commonly referred to as the "brochure rule." The Form ADV Part 2A (or, when applicable, Form ADV Part 2A Appendix 1Wrap Fee Brochure) serves as an investment adviser’s disclosure brochure. Discretionary Account- An account in which the investment adviser is able to make. the investment adviser or principal underwriter for the fund; and o (v) Transactions in units of a unit investment trust if the unit investment trust is invested exclusively in mutual funds, unless Atlas Capital Advisors LLC or a control affiliate acts as the investment adviser or principal underwriter for the fund. investment adviser. • “investment adviser” is an abbreviated form of “registered investment adviser.” To avoid confusion, these procedures will use the term “investment adviser” to refer only to a legal entity, and not to individuals who are investment adviser representatives.