Checklist For State-Covered Investment Advisers Form. This is a Missouri form and can be use in Blue Sky Secretary Of State.
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Checklist for State-Covered Investment Advisers The following questions may help you in the completion of your state-covered investment adviser registration filing. Be sure to also read the filing procedures included in this packet. Note: This checklist is for your convenience only. You do not need to send it back to the Missouri Securities Division. _____ Did you submit the $200 investment adviser registration fee and a $50 investment adviser representative registration fee for each individual to the IARD system? _____ Did you complete and submit Parts 1 and 2 of Form ADV to the IARD system? _____ If Item 5E (6) of Part 1A regarding Performance-Based Fees is marked, have you included the additional information required? _____ If you responded “yes” to Item 9A or B of Part 1A regarding custody of client funds, did you provide the correct information on Schedule D as indicated in the Initial StateCovered Investment Adviser Filing Procedures? _____ Does Item 1 of Part 1B reflect a check in the “MO” jurisdiction box? _____ If you directly or indirectly compensate any person for client referrals, have you included the following statement? “Applicant’s referral agreement is in compliance with Federal Regulations. As set out in 17 CFR Section 275.206(4)-3, and in each state where state law requires, each client is given a copy of the referral agreement prior to or at the time of entering into any advisory contract.” _____ Did you submit Forms U-4 for each investment adviser representative, including the chief compliance officer, with a mark in the “MO” jurisdiction box? _____ Did you mail an originally signed, recently dated, notarized State Covered Investment Adviser Affidavit (Form SADV-1) to the Missouri Securities Division? _____ If required, did the investment adviser register with the Missouri Corporations Division? _____ Did you include a verified balance sheet prepared within 30 days of filing? _____ Did you list the name of the investment adviser’s chief compliance officer in your cover letter and include this designation on your State Covered Investment Adviser Affidavit? _____ Did you provide copies of the following documents to the Missouri Securities Division? A sample or copy of the written agreement the applicant intends to enter into with any client relating to the business of the applicant; a sample or copy of any solicitor agreements the applicant intends to utilize (if applicable); Private Placement Memorandum(s), Limited Partnership Agreement(s), Subscription Agreement(s), and Gatekeeper Arrangement(s) if a Pooled Investment Vehicle or Hedge Fund is to be involved, or any agreement similar to the above (if applicable). American LegalNet, Inc. www.FormsWorkFlow.com