SEC's adoption of Rule 206(4)-7

Posted on October 28, 2004 by Stark & Stark
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In the October issue of Financial Advisor Magazine, Oren Chaplin and Thomas Giachetti, members of Firm's Securities Compliance & Regulation Group, authored an article regarding the SEC's adoption of Rule 206(4)-7. This rule requires SEC-registered investment advisors to adopt compliance policies and procedures designed to prevent violations of applicable securities laws, including the Investment Advisers Act of 1940. The firm must designate a chief compliance officer to administer all adopted policies and procedures, which then must be reviewed on an annual basis in an attempt to ascertain their adequacy and the effectiveness of their implementation.

You can read the full article here.

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