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