Connexien

ia- fincen customer due diligence (cdd) certification form

ia- investment adviser customer complaint log

ia- private securities transaction disclosure statement

ia- investment adviser political contributions log

ia- investment adviser political contribution disclosure statement

ia- investment adviser gifts & gratuities disclosure statement

ia- investment adviser code of ethics (coe) (rule 204a-1)

ia- investment adviser insider trading statement of understanding

ia- list of designated supervisory and registered personnel

bd- sample resignation letter with form u5 request

ia- sample resignation letter with form u5 request

ia- investment adviser quarterly compliance review checklist

ia- small firm investment adviser business continuity plan (bcp)

bd- broker-dealer best execution review checklist

ia- investment adviser best execution review checklist

bd- broker-dealer quarterly compliance review checklist

ia- sec reg. investment adviser audit review template (ia-art)

bd- written supervisory procedure (wsp) attestation

bd- branch office customer complaint disclosure form

bd- broker-dealer gifts and gratuities disclosure statement