Risk and Compliance

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Across
  1. 2. Monthly financial document sent to clients
  2. 6. Rule requiring RIA compliance policies
  3. 7. Review process conducted every three months
  4. 8. Group that provides advisory services (acronym)
  5. 9. Management Action Plan (acronym)
  6. 10. Assets excluded from fee calculations: Funding ___
  7. 11. Chief Risk Officer (acronym)
  8. 12. Investment ___ Act regulates RIAs
  9. 14. Bank of New York ___ (fee accrual provider)
Down
  1. 1. Type of duty owed by municipal advisors to clients
  2. 3. Process of verifying control effectiveness
  3. 4. Board that regulates municipal securities
  4. 5. Type of consent where silence equals approval
  5. 12. Daily calculation of fees based on net ___
  6. 13. Standard Operating Procedure (acronym)