Example 1
Reports produced in connection with Registrant’s Rule 206(4)-7 annual compliance review testing during or covering the Examination Period and a statement as to whom such reports were presented and when. If written reports were not produced, provide a written summary of all annual compliance reviews conducted during the. Examination Period, as well as the results of those reviews.
Example 2
Annual Review: Any reports and documentation generated to evidence the Adviser’s most recent annual compliance review performed pursuant to Rule 206(4)-7 of the Advisers Act.