Compliance & Supervisory Procedures Manual
00.00 Forward
01.00 Personnel Licensing and Registration
01.01 Exhibit- List of Supervisory and Registered Personnel
01.05 – Exhibit Termination Procedures
02.00 Standards of Conduct
03.00 General Supervision
03.02 Exhibit – Supervisory Procedures Attestation
04.00 Continuing Education and Training
05.00 Books and Records Requirements
05.03 Exhibit – Books and Records Retention List
06.00 AIC Financial Reporting
07.00 Communications with the Public
08.00 Customer Accounts and Transactions
08.06 Exhibit – OATS Recording of Order Information
09.00 Privacy Policies and Procedures (Regulation S-P)
10.00 Anti-Money Laundering Procedures
10.05 Exhibit – Legal Entity Customer Due Diligence Certification Form
11.00 OSJ Branch Office Procedures
11.01a Exhibit – OSJ Office Compliance Requirements
11.01b Exhibit – Non-OSJ Branch Compliance Requirements
11.01c Exhibit – Satellite Office Compliance Requirements
11.02 Exhibit – Designated OSJ Branch Office Review Cycle
12.00 Corporate Fixed Income Securities & TRACE
13.00 Direct Participation Programs
14.00 General Equities
15.00 Government Securities
16.00 Independent Contractors
17.00 Municipal Securities
18.00 Mutual Funds
19.00 Private Placements and Offerings
20.00 Variable Contracts
01.00 Personnel Licensing and Registration
01.01 Exhibit- List of Supervisory and Registered Personnel
01.05 – Exhibit Termination Procedures
02.00 Standards of Conduct
03.00 General Supervision
03.02 Exhibit – Supervisory Procedures Attestation
04.00 Continuing Education and Training
05.00 Books and Records Requirements
05.03 Exhibit – Books and Records Retention List
06.00 AIC Financial Reporting
07.00 Communications with the Public
08.00 Customer Accounts and Transactions
08.06 Exhibit – OATS Recording of Order Information
09.00 Privacy Policies and Procedures (Regulation S-P)
10.00 Anti-Money Laundering Procedures
10.05 Exhibit – Legal Entity Customer Due Diligence Certification Form
11.00 OSJ Branch Office Procedures
11.01a Exhibit – OSJ Office Compliance Requirements
11.01b Exhibit – Non-OSJ Branch Compliance Requirements
11.01c Exhibit – Satellite Office Compliance Requirements
11.02 Exhibit – Designated OSJ Branch Office Review Cycle
12.00 Corporate Fixed Income Securities & TRACE
13.00 Direct Participation Programs
14.00 General Equities
15.00 Government Securities
16.00 Independent Contractors
17.00 Municipal Securities
18.00 Mutual Funds
19.00 Private Placements and Offerings
20.00 Variable Contracts
Continuing Education & Training
Indexed Annuities
Miscellaneous
Office Compliance Requirements
Seminars & Other Speaking Engagements
- Welcome AIC Representatives
- Compliance Related
- Forms & Acknowledgements
- Account Information & Order Instructions
- AIC Blotters
- DOL
- Explanation of Investment Forms
- Letters of Acknowledgement
- Miscellaneous
- NFS Forms
- RIA Forms
- NFS
- Product Information
- RIA
- Useful Links
