Available since 1994, the Compliance Manual has been upgraded
incrementally over time, but with the spate of new regulations,
the compliance manual has been revised more frequently.
Version 4.2 addresses, among other rules, the enactment of
Rule 206(4)7 requiring the appointment of a Chief Compliance Officer,
and comprehensive written compliance and supervisory procedures.
In Version 4.2, two new sections were added. The new section on
Compliance Risk
Assessment responds to recent regulatory questions about how the
firm is addressing its various risks. The new section on Internal
Controls similarly addresses additional regulatory questions.
The Compliance Manual comprises thirty-nine sections that are
separate Microsoft Word documents. Each section may be tailored to
your own firm's procedures.
The price of the Compliance Manual is $150.00.
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