Compliance Manual | TetraHomes
Compliance Manual.
The overarching regulatory framework and supervisory structure for TetraHomes as a registered investment adviser.
Regulatory framework.
TetraHomes intends to register as an investment adviser under the Investment Advisers Act of 1940. This Compliance Manual establishes the policies, procedures, and controls designed to prevent violations of federal securities laws.
Chief Compliance Officer.
A Chief Compliance Officer is appointed by the firm's governing body and is responsible for administering the compliance program, conducting annual reviews, and reporting to the firm's board.
Testing and monitoring.
The compliance program includes forensic and transactional testing, periodic reviews of trading, marketing, and expense practices, and annual reviews of the effectiveness of policies and procedures.
Books and records.
TetraHomes maintains books and records in accordance with Rule 204-2, including retention periods and formats required by the rule.
Marketing.
All marketing communications are reviewed for compliance with the Marketing Rule (Rule 206(4)-1), including substantiation of performance, disclosure of material facts, and pre-clearance of testimonials and endorsements.
Custody.
Client assets are held with a qualified custodian. TetraHomes maintains procedures for annual surprise examinations and for delivery of audited financial statements to investors.
This policy is provided for informational and disclosure purposes. It may be amended from time to time. For the current version, contact [email protected].