BD- Request to Open Accounts At Other Broker-Dealers and Financial Institutions Resources Information captured on the Checklist

Information captured on the Checklist includes eighteen separate areas of risk and compliance to address regulatory focal points often highlighted during regulatory examinations

The Investment Adviser Non-Disclosure Agreement ("NDA") for Nonpublic Personal Information serves as an important part of an investment adviser's overall compliance and privacy program in accordance with SEC Rule 206(4)-7

3/December 2

The customizable updated Due Diligence Checklist for Third-Party Service Providers serves as a useful guide as part of an Investment Adviser’s overall due diligence review process before engaging with third-party vendors

The Certification is often used for non-registered covered persons who may interact with public customers to confirm and acknowledge certain internal compliance policies

BD- Request to Open Accounts At Other Broker-Dealers and Financial Institutions Resources Information captured on the ChecklistThe Broker Dealer Request to Open Account(s) at Other Broker Dealers and Financial Institutions is a useful template to satisfy the initial request and notification requirement under FINRA Rule 3210 (Accounts At Other Broker Dealers and Financial Institutions). This Request Form should be completed and submitted to broker dealer firms by registered representatives who are requesting to open a securities account away from their current employer member