Compliance Manual Review

For those of you planning to spend some of your summer time reviewing your Compliance Manual, here is some assistance.  The state of Minnesota has prepared a Checklist to assist those in Minnesota to prepare a compliant manual.  This check list is transferrable to other states and to SEC advisers.  Here is the link: http://mn.gov/commerce/images/WSPChecklist-for-Examiners.pdf

I hope you find this as helpful as I did.

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