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Investment Adviser Compliance Manual & Written Supervisory Procedures (Wasps) June 2017TABLE OF CONTENTS 1.02.03.04.05.06.0 7.08.09.0PageINTRODUCTION .............................................................................................................................................................
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wwwria-compliance-consultantscomfrequentlywritten supervisory ampamp compliance refers to the regular reporting and monitoring of supervisory and compliance activities within a firm to ensure adherence to regulations and policies.
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