40act.com 40act.com

40act.com

40act.com

An investment management community rich in compliance and legal resources. Disclosure, Brochure and Delivery. Exemptive Orders and No-Action Letters. Fraud and Other Prohibitions. Identity Theft (Red Flag) Program. Securities Exchange Act Reporting. Addressing Conflicts of Interest. Brokerage and Best Execution. Business Continuity and Recovery. Contracting with Clients and Service Providers. Drafting and Negotiating Contracts. Detecting and Preventing Money Laundering. Filing 1934 Act and Other Reports.

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390 D●●●●●treet

Nor●●●oro , MA, 01532

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Karl O Hartmann

390 D●●●●●treet

Nor●●●oro , MA, 01532

US

(508●●●●8322
th●●●●●●●●●@yahoo.com

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Karl O Hartmann

390 D●●●●●treet

Nor●●●oro , MA, 01532

US

(508●●●●8322
199●●●-25
th●●●●●●●●●@yahoo.com

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40act.com | 40act.com Reviews
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An investment management community rich in compliance and legal resources. Disclosure, Brochure and Delivery. Exemptive Orders and No-Action Letters. Fraud and Other Prohibitions. Identity Theft (Red Flag) Program. Securities Exchange Act Reporting. Addressing Conflicts of Interest. Brokerage and Best Execution. Business Continuity and Recovery. Contracting with Clients and Service Providers. Drafting and Negotiating Contracts. Detecting and Preventing Money Laundering. Filing 1934 Act and Other Reports.
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1 about 40act com
2 advanced search
3 investment advisers
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6 advisory contract
7 advisory personnel
8 anti money laundering
9 bad actors
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40act.com | 40act.com Reviews

https://40act.com

An investment management community rich in compliance and legal resources. Disclosure, Brochure and Delivery. Exemptive Orders and No-Action Letters. Fraud and Other Prohibitions. Identity Theft (Red Flag) Program. Securities Exchange Act Reporting. Addressing Conflicts of Interest. Brokerage and Best Execution. Business Continuity and Recovery. Contracting with Clients and Service Providers. Drafting and Negotiating Contracts. Detecting and Preventing Money Laundering. Filing 1934 Act and Other Reports.

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40act.com 40act.com
1

40act.com

http://www.40act.com/investment-advisers/subjects/advisory-personnel

An investment management community rich in compliance and legal resources. Disclosure, Brochure and Delivery. Exemptive Orders and No-Action Letters. Fraud and Other Prohibitions. Identity Theft (Red Flag) Program. Securities Exchange Act Reporting. Contracting with Clients and Service Providers. Drafting and Negotiating Contracts. Documentation and Content Management. Surviving an SEC Exam. Articles, Memos and Surveys. SEC Exam Document Requests. ETF and SuperTrust History Files. Other Laws and Rules.

2

40act.com

http://www.40act.com/investment-advisers/subjects/family-office

An investment management community rich in compliance and legal resources. Disclosure, Brochure and Delivery. Exemptive Orders and No-Action Letters. Fraud and Other Prohibitions. Identity Theft (Red Flag) Program. Securities Exchange Act Reporting. Contracting with Clients and Service Providers. Drafting and Negotiating Contracts. Documentation and Content Management. Surviving an SEC Exam. Articles, Memos and Surveys. SEC Exam Document Requests. ETF and SuperTrust History Files. Other Laws and Rules.

3

40act.com

http://www.40act.com/investment-advisers/subjects/code-of-ethics

An investment management community rich in compliance and legal resources. Disclosure, Brochure and Delivery. Exemptive Orders and No-Action Letters. Fraud and Other Prohibitions. Identity Theft (Red Flag) Program. Securities Exchange Act Reporting. Contracting with Clients and Service Providers. Drafting and Negotiating Contracts. Documentation and Content Management. Surviving an SEC Exam. Articles, Memos and Surveys. SEC Exam Document Requests. ETF and SuperTrust History Files. Other Laws and Rules.

4

40act.com

http://www.40act.com/investment-advisers/subjects/anti-money-laundering

An investment management community rich in compliance and legal resources. Disclosure, Brochure and Delivery. Exemptive Orders and No-Action Letters. Fraud and Other Prohibitions. Identity Theft (Red Flag) Program. Securities Exchange Act Reporting. Contracting with Clients and Service Providers. Drafting and Negotiating Contracts. Documentation and Content Management. Surviving an SEC Exam. Articles, Memos and Surveys. SEC Exam Document Requests. ETF and SuperTrust History Files. Other Laws and Rules.

5

40act.com

http://www.40act.com/investment-advisers/subjects/disaster-recovery

An investment management community rich in compliance and legal resources. Disclosure, Brochure and Delivery. Exemptive Orders and No-Action Letters. Fraud and Other Prohibitions. Identity Theft (Red Flag) Program. Securities Exchange Act Reporting. Contracting with Clients and Service Providers. Drafting and Negotiating Contracts. Documentation and Content Management. Surviving an SEC Exam. Articles, Memos and Surveys. SEC Exam Document Requests. ETF and SuperTrust History Files. Other Laws and Rules.

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An investment management community rich in compliance and legal resources. Disclosure, Brochure and Delivery. Exemptive Orders and No-Action Letters. Fraud and Other Prohibitions. Identity Theft (Red Flag) Program. Securities Exchange Act Reporting. Addressing Conflicts of Interest. Brokerage and Best Execution. Business Continuity and Recovery. Contracting with Clients and Service Providers. Drafting and Negotiating Contracts. Detecting and Preventing Money Laundering. Filing 1934 Act and Other Reports.

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