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Compliance Review Ongoing compliance updates for independent advisors August 2017IN THIS ISSUE. Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1II.×Identifying access persons.

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What is for independent advisors?

Independent advisors refer to professionals who offer financial advice on a non-biased and impartial basis without being affiliated with a specific financial institution.

Who is required to file for independent advisors?

Independent advisors who meet certain criteria, such as managing assets for clients or providing financial advice for a fee, are required to file.

How to fill out for independent advisors?

Independent advisors can fill out the necessary forms online through the designated regulatory website or submit them by mail.

What is the purpose of for independent advisors?

The purpose of filing for independent advisors is to ensure transparency and compliance with regulations governing the financial advisory industry.

What information must be reported on for independent advisors?

Information such as assets under management, fees charged, conflicts of interest, and any disciplinary history must be reported on for independent advisors.

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