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01-01-2024
Business

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What is NOT true regarding the annual review under the Investment Advisers Act of 1940 Compliance Programs Rule?
1) It is used to determine the adequacy of the firm's policies and procedures.
2) It is used to determine the effectiveness of the firm's policies and procedures.
3) Any document created to evidence the annual review must be retained.
4) It must be summarized in a written report.

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