Investment Adviser Policies and Procedures Online Manual

Whether you are a state or SEC-registered investment adviser, NRS offers a manual that can be customized for your needs.

Now online, both the State and Federal versions of the manual include such features as:

• A customization tool in which you answer questions about your firm and business practices. Those answers will be utilized to create a custom manual.
• Sample Firm Policies, written by NRS and are created based on the answers in the completed profile. In addition, the firm can add more specific information whenever necessary using the Administration tools.
• The Procedures section provides sample procedures for a firm to edit to include their own requirements.
• A Regulatory Reference section is available from any point in the manual for more specific regulatory information.
• The ability to add an unlimited number of users to the online manual and to track usage by users.

However, if you are looking for a policies and procedures manual that is specifically tailored for hedge fund advisers, NRS offers one as part of the ComplianceEssentials for Hedge Funds^TM product.

For a more comprehensive compliance system, please review NRS ComplianceEssentials for Hedge Funds^TM  which includes the Policies and Procedures and much more.