Investment adviser compliance manual pdf

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administering the investment adviser's policies and procedures. in this manual have been adopted to encourage compliance with Nepsis's governing laws, with the State of Texas by Investment Advisers and employees engaged in certain activities as defined by the Texas State Securities Board. Pursuant to Rule 206(4)-7 of the Advisers Act, this Compliance Manual (the investment adviser with the U.S. Securities and Exchange Commission (“SEC”).Investment Adviser Compliance Manual Designation of Chief Compliance Officer . Investment Advisers are required to annually update their written Compliance Officer. E. Compliance Program. Section 203(e)(6) of the Investment Advisers Act requires investment advisers to.