AuditsCompliance-in-a-Box: The Startup Guide to Audit-Ready DocsSVSid Varma · 12 min readFor chief compliance officers at registered investment advisers, and the outsourced CCOs who work with them. The compliance manual and the code of ethics approved, sent to every supervised person and kept by version.
30-day trialUnlimited free viewersNo credit card required
The first-day request names the manual in force during the exam period, the code of ethics and its acknowledgments, and what the last annual review left behind.
SEC Rule 206(4)-7(a)
Written policies and procedures, adopted and implemented, reasonably designed to prevent violations of the Advisers Act.
SEC Rules 206(4)-7(b) and 204-2(a)(17)(ii)
A review at least once a year of whether the policies are adequate and carried out effectively, with any records that document it.
SEC Rule 204A-1
A written code of ethics, and from every supervised person a written acknowledgment that they received it and each amendment to it.
SEC Rule 204-2
The records the rules require, kept for the periods they set, including the policies in effect over the past five years.
Built for chief compliance officers who show examiners the manual, the code and the record.
Advisers, access persons and operations each get the procedures that cover them.
Invite a new adviser with their tags and the code and manual are waiting.
Supervised persons and other viewers are unlimited. You pay for the people who write.
A revised code or manual is approved, then its Editor sends it out and everyone it covers is asked again.
A review date puts an alert on the manual and reminds its Editor.
Filter the audit log by date or person and export a PDF or CSV.
Tag people by office, team and role. Each policy reaches only the people it covers, and new hires get theirs on day one.
Show the examiner each person’s acknowledgment of the code and every amendment, with the time and the version.
The rules set the frame, and the adopting release expects the manual to fit the firm. Each area your firm covers is a policy that needs the same control.
The procedure current, with each access person’s acknowledgment of it by version.
Review procedures versioned, so every adviser works from the same rules.
The procedure approved and current for everyone who handles client assets.
One current version of each policy, with its history kept and its readers on record.
The plan current and in the hands of everyone who has a role in it.
One current version for every employee, confirmed when it changes.
The first-day request names the manual as it stood, the code of ethics, its acknowledgments and the annual review. Each is an approved document with its own record.
Filter the audit log by date or person and export it as a PDF or CSV.
Need help writing the policies? Find a consultant for your standard.
No. They read and acknowledge as viewers, free of charge.
Both are available. Choose for each policy when you send it. E-sign is an optional add-on.
The revised code is approved as a new version, its Editor sends it out again, and everyone it covers is asked to acknowledge it. Earlier acknowledgments stay on record.
The mechanics are the same: write your policies, approve them, send them to the people they cover and keep the record. Bring the rules you answer to.
Yes. Invite them as an Editor if they write or maintain the policies.
Export the document’s log, or the workspace audit log if you are an Admin, as a PDF or CSV, filtered by date or person.
Their completed acknowledgments stay on record.
free for 30 days