№ lp_2_3_43535
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Character count: 13964
File size: 30 KB
Compliance reference schedule outlining categories of books and records that investment advisers must maintain and the corresponding retention periods under Rule 204-2 of the Advisers Act.
Subject:
Books and records retention requirements for investment advisers
Legal Basis:
Rule 204-2 under the Advisers Act
Applicable Entities:
Investment advisers
Document Type:
Compliance checklist / regulatory records schedule
Categories:
Corporate Documents; Accounting Records; Trading and Account Management Records; Client Relationship Records; Marketing and Performance Records
Record Retention Periods:
Termination plus 3 years; 5 years (first 2 years on-site); 5 years after termination of contract; 5 years from last publication or dissemination
On-Site Requirement:
First 2 years on-site (where specified)
Referenced Forms:
Form ADV; Form CRS
Covered Materials:
Corporate governance records; financial and accounting books; trade memoranda; research files; client agreements; discretionary authority evidence; written communications; advertisements; complaint files
Price: 8 / 10 USD
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The product description is provided for reference. Actual content and formatting may differ slightly.
Note:
Year
Topic:
Special Educational Needs and Disabilities
Document Type:
Request Form
Organization / Institution:
Cognus Ltd
Target Audience:
Parents, carers, educational staff
Note:
Year
Subject:
Investment Advisory Compliance
Document Type:
Annual Review Report
Target Audience:
Investment advisers, compliance officers
Period of Effect:
Calendar year
Year:
2026
Region / City:
Hertfordshire
Topic:
Religious Education
Document Type:
Newsletter
Organization / Institution:
Hertfordshire SACRE
Author:
Shammi Rahman
Target Audience:
Religious Education teachers and practitioners in Hertfordshire
Period of Validity:
Spring Term 2026
Approval Date:
February 2026
Date of Changes:
Not specified
Year:
2025
Region / city:
Cambridge
Theme:
Super-curriculars
Document type:
Webinar presentation
Organization / institution:
University of Cambridge
Authors:
Dr. Christine Nightingale, Dr. Jonathan Padley, Natalie Thompson, Amanda Watson
Target audience:
Teachers and advisers
Period of validity:
12th March 2025
Approval date:
Not specified
Modification date:
Not specified
Contextual description:
A webinar presentation discussing the importance of super-curricular activities in university applications, with a focus on Cambridge University’s admissions process.
Year:
2023
Region / City:
India
Topic:
Investment Advertising Regulations
Document Type:
Guidelines
Organization / Institution:
Securities and Exchange Board of India (SEBI), Bombay Stock Exchange (BSE)
Author:
SEBI
Target Audience:
Investment Advisers (IAs), Business Partners, Authorized Persons, Influencers
Validity Period:
Ongoing
Approval Date:
Not specified
Amendment Date:
Not specified
Note:
Year
Theme:
Advertising Regulations
Document Type:
FAQ
Organization / Institution:
BSE Limited
Target Audience:
Investment Advisers, Investors
Contextual Description:
A set of guidelines detailing the advertisement approval process for investment advisers under the BSE Code, including which advertisements require prior approval and the conditions attached.
Year:
not specified
Organization:
Competition and Markets Authority (CMA)
Document type:
Pro forma template / drafting note
Scope:
CMA investigations (including market investigations and merger inquiries)
Subject:
Disclosure room access undertakings, individual and firm obligations, disclosure restrictions under Enterprise Act 2002 and Competition Act 1998
Legal framework:
Enterprise Act 2002 (EA02), Competition Act 1998 (CA98)
Intended recipients:
External advisers and their firms retained by parties in CMA investigations
Purpose:
Provide standard terms and conditions for disclosure room access and undertakings
Status:
Draft template based on recent CMA practice (not a final legal instrument)
Year:
2016
Region / City:
Queensland
Topic:
Great Barrier Reef, Environmental Policy, Climate Change
Document Type:
Report
Organization / Institution:
Queensland Government
Author:
NCWQ Environment Adviser
Target Audience:
Environmental professionals, policy makers, researchers
Effective Period:
2016
Approval Date:
August 2016
Modification Date:
November 2016
Year:
2020
Region / City:
Australia
Topic:
Financial advising, Disciplinary system
Document type:
Legislation Q&A
Organization / Institution:
Australian Government, ASIC
Author:
Australian Government, ASIC
Target audience:
Financial advisers, regulatory bodies
Period of validity:
From January 1, 2022 (subject to legislation)
Approval date:
9 December 2020
Amendment date:
Not specified
Year:
2024
Note:
Region / City
Topic:
WI enlargement process
Document type:
Guideline
Author:
Membership and Engagement
Target audience:
WI Advisers
Approval date:
November 2024
Amendment date:
March 2025
Year:
Not specified
Country:
United Kingdom
Region:
Greater Lincolnshire
Thematic area:
Education and business engagement
Document type:
Directory / network listing
Program:
Enterprise Adviser Network
Regions covered:
City of Lincoln; West Lindsey; North Kesteven; East Lindsey; South Kesteven; Boston; South Holland
Institutions involved:
Secondary schools and academies in Greater Lincolnshire
Participants:
Enterprise Advisers from businesses and organizations
Organizations represented:
Local authorities, private companies, education institutions, and industry organizations
Content structure:
Table listing regions, enterprise advisers with affiliated organizations, and assigned schools
Additional section:
Enterprise advisers awaiting match with a school
Note:
Year
Year:
2021
Region / City:
EU
Topic:
Supervisory Reporting, Reclassification of Positions
Document Type:
Regulatory Amendment
Institution:
European Commission
Author:
European Commission
Target Audience:
Financial institutions, regulatory bodies
Effective Period:
Ongoing, with specific references to regulation dates
Approval Date:
Not specified
Date of Changes:
2021
Year:
2025
Region / city:
Australia
Subject:
Electronic court books for virtual courtrooms
Document Type:
Template / Guideline
Institution:
Supreme Court of Victoria
Author:
Unknown
Target Audience:
Legal professionals, Judicial officers, Court staff
Period of validity:
Not specified
Approval date:
Not specified
Date of changes:
Not specified
Document type:
Regulatory compliance checklist
Governing law:
Securities Exchange Act of 1934
Applicable rules:
SEA Rules 17a-3 and 17a-4
Regulatory authority:
U.S. Securities and Exchange Commission
Related organization:
Financial Industry Regulatory Authority
Subject matter:
Broker-dealer books and records requirements
Jurisdiction:
United States
Retention periods:
Three to six years depending on record type
Target entities:
Registered broker-dealers
Source references:
SEA Rule 17a-3; SEA Rule 17a-4
Compliance focus:
Record creation and retention
RFQ Number:
27 NAC/KCO
Title:
Printing of school books grade 2 based on NAC sample
Organization:
Norwegian Afghanistan Committee
Office:
Kabul Main Office (KCO)
Issue Date:
16 May 2022
Closing Date:
25 May 2022
Closing Time:
4:00 PM Kabul, Afghanistan Standard Time
Region:
Kabul, Badakhshan Province
Country:
Afghanistan
Document Type:
Request for Quotations
Subject:
Printing and delivery of grade 2 school textbooks
Target Suppliers:
Locally registered vendors
Delivery Location:
NAC Regional Office, Badakhshan Province
Currency:
Afghani (AFN)
Tax Conditions:
2% or 7% deduction according to registration status
Payment Terms:
Post-delivery payment by wire transfer or check
Procurement Method:
Competitive quotation
Quantity:
9,646 sets
Contract Period:
May 2022
Issuing Body Address:
Nawai Watt Street #3, House #294, Shar-e-Naw, Kabul, Afghanistan
Contact Information:
+93 790 69 82 04 / 0729610137
Year:
2022
Region / City:
Kabul, Afghanistan
Topic:
Printing, Story Books
Document Type:
Request for Quotations
Organization:
Norwegian Afghanistan Committee (NAC)
Author:
Norwegian Afghanistan Committee
Target Audience:
Suppliers, Bidders
Period of Validity:
18,08,2022 - 28,08,2022
Approval Date:
18,08,2022
Modification Date:
Not specified
Year:
2022
Region / City:
Kabul, Afghanistan
Topic:
Procurement
Document Type:
Request for Quotations (RFQ)
Organization / Institution:
Norwegian Afghanistan Committee (NAC)
Author:
Norwegian Afghanistan Committee
Target Audience:
Potential Vendors
Period of Validity:
Until 30,07,2022
Approval Date:
20,07,2022
Date of Changes:
None
Year:
2006
Region / City:
Jamaica
Topic:
Music, Reggae
Document Type:
Bibliography
Author:
Multiple authors
Target Audience:
Scholars, Researchers, Music Enthusiasts
Period:
Not specified
Approval Date:
Not specified
Modification Date:
Not specified