Portfolio management recordkeeping requires financial statements, investment decision records, location disclosure, and historical accounts upon request. Portfolio managers must maintain financial statements, auditors' reports, statements of financial position, and other documents specified by the Board. ... Summary
Portfolio management recordkeeping requires financial statements, investment decision records, location disclosure, and historical accounts upon request.
Portfolio managers must maintain financial statements, auditors' reports, statements of financial position, and other documents specified by the Board. Principal Officers must retain physical or digital records supporting each investment transaction or recommendation, including the data, facts, and opinion underlying the decision. Portfolio managers must disclose the location of maintained records and furnish financial and other required documents for the preceding five accounting years when required by the Board.
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