48 Neb. Admin. Code, ch. 7, § 016 - COMPLIANCE PROCEDURES AND PRACTICES

016.01 An investment adviser registered or required to be registered pursuant to Section 8-1103 of the Act shall adopt and implement written policies and procedures reasonably designed to prevent violation of the Act and the rules adopted under the Act by the investment adviser and any investment adviser representative or other employee or agent.

016.02 An investment adviser shall review the adequacy of the policies and procedures established pursuant to this Section and the effectiveness of their implementation on an annual basis and document such review.

016.03 An investment adviser shall designate an investment adviser representative registered with the Department who is responsible for administering the policies and procedures adopted under this Section.

Notes

48 Neb. Admin. Code, ch. 7, § 016

Amended effective 11/27/2019