Transcription of INVESTMENT ADVISER COMPLIANCE MANUAL …
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INVESTMENT ADVISER COMPLIANCE MANUAL …
INVESTMENT ADVISER . COMPLIANCE MANUAL . AND. written supervisory PROCEDURES. April 1, 2011. CRD# 6905. SEC# 801-68779. 2100 LaSalle Plaza 800 LaSalle Avenue Minneapolis, MN 55402. Revised: 12/1/11 Page 1. TO FELTL AND COMPANY ASSOCIATED PERSONS*: As a Registered INVESTMENT ADVISER , Feltl and Company (the Firm and/or F&C ) is subject to federal and state laws and regulations governing its business of providing INVESTMENT management and advisory services to individuals and companies. These laws and regulations stem principally from the INVESTMENT Advisers Act of 1940.
Revised: 12/1/11 Page 1 INVESTMENT ADVISER COMPLIANCE MANUAL AND WRITTEN SUPERVISORY PROCEDURES April 1, 2011 CRD# 6905 SEC# 801-68779 2100 LaSalle Plaza 800 LaSalle Avenue
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