{"product_id":"ia-ia-written-supervisory-procedures-impartial-conduct-standards-under-dol-pte-2020-02","title":"SEC Registered Investment Adviser Compliance Manual- Impartial Conduct Standards","description":"\u003cp data-mce-fragment=\"1\"\u003eThe Investment Adviser Written Supervisory Procedures Section on Impartial Conduct Standards serves as an important part of a firm’s written supervisory procedures (WSPs) and overall compliance program in accordance with SEC Rule 206(4)-7 \u0026amp; the Department of Labor’s (DOL’s) adopted Prohibited Transaction Exemption 2020-02 (“PTE 2020- 02”).  The WSP Section includes ten (10) separate sections that help firms outline effective supervisory processes regarding compliance with DOL’s Impartial Conduct Standards.  Select sections include sample descriptions of supervisory review processes that can be further customized to align with your specific business model. \u003cspan data-mce-fragment=\"1\"\u003eMembers can also view our entire collection at \u003c\/span\u003e\u003ca href=\"https:\/\/store.connexien.com\/collections\/sec-reg-investment-adviser-wsp-library\" data-mce-fragment=\"1\" data-mce-href=\"https:\/\/store.connexien.com\/collections\/sec-reg-investment-adviser-wsp-library\"\u003e\u003cspan data-mce-fragment=\"1\"\u003e\u003cspan style=\"color: #00aaff;\"\u003e\u003cu data-mce-fragment=\"1\"\u003eSEC Reg. IA WSP Library\u003c\/u\u003e\u003c\/span\u003e.\u003c\/span\u003e\u003c\/a\u003e Members also downloaded the \u003cspan style=\"text-decoration: underline; color: #00aaff;\"\u003e\u003ca href=\"https:\/\/store.connexien.com\/products\/investment-adviser-rollover-due-diligence-form-for-dol-pte-2020-02?_pos=1\u0026amp;_sid=5cc9ec202\u0026amp;_ss=r\" style=\"text-decoration: underline; color: #00aaff;\" data-mce-fragment=\"1\" data-mce-href=\"https:\/\/store.connexien.com\/products\/investment-adviser-rollover-due-diligence-form-for-dol-pte-2020-02?_pos=1\u0026amp;_sid=5cc9ec202\u0026amp;_ss=r\"\u003eRollover Due Diligence Form for DOL PTE 2020-02\u003c\/a\u003e\u003c\/span\u003e\u003cspan data-mce-fragment=\"1\"\u003e,\u003c\/span\u003e \u003cspan style=\"text-decoration: underline; color: #00aaff;\"\u003e\u003ca href=\"https:\/\/store.connexien.com\/products\/written-acknowledgement-of-fiduciary-status-under-dol-pte-2020-02?_pos=2\u0026amp;_sid=d1ab42b61\u0026amp;_ss=r\" style=\"text-decoration: underline; color: #00aaff;\" data-mce-fragment=\"1\" data-mce-href=\"https:\/\/store.connexien.com\/products\/written-acknowledgement-of-fiduciary-status-under-dol-pte-2020-02?_pos=2\u0026amp;_sid=d1ab42b61\u0026amp;_ss=r\"\u003eWritten Acknowledgement of Fiduciary Status under DOL PTE 2020-02\u003c\/a\u003e\u003c\/span\u003e. \u003c\/p\u003e\n\u003cp data-mce-fragment=\"1\"\u003eVersion\/Update: V.2\/May 31, 2022\u003c\/p\u003e\n\u003cp data-mce-fragment=\"1\"\u003eTotal Page Count\/Format: 27\/.docx\u003c\/p\u003e\n\u003cp data-mce-fragment=\"1\"\u003eSource\/Author(s): Connexien\u003c\/p\u003e\n\u003cp\u003e\u003cimg src=\"https:\/\/cdn.shopify.com\/s\/files\/1\/1999\/9393\/products\/BD-InvestmentAdviserWSPSection13-ImpartialConductStandardsunderDOLPTE2020-02V.2-05312022TOC.png?v=1688147190\" alt=\"\"\u003e\u003c\/p\u003e","brand":"Connexien","offers":[{"title":"Default Title","offer_id":48332138971381,"sku":null,"price":220.0,"currency_code":"USD","in_stock":true}],"thumbnail_url":"\/\/cdn.shopify.com\/s\/files\/1\/0789\/8274\/2261\/files\/13coverpage.png?v=1782769850","url":"https:\/\/nortrano.com\/products\/ia-ia-written-supervisory-procedures-impartial-conduct-standards-under-dol-pte-2020-02","provider":"nortrano","version":"1.0","type":"link"}