United States — Kentucky
KRS § 292.336 Recordkeeping and reporting requirements -- Examination by commissioner -- Administrative regulations -- Central depository system for documents -- Investment advisers -- Required policies and procedures.
1 provisions
Broker-dealers, firms employing issuer agents, and investment advisers must keep prescribed records, file required reports, and update inaccurate filings; investment advisers must also maintain and annually review business continuity and cybersecurity procedures.