Welcome to Sutherland's Rule 38a-1 Resource Center
Welcome to the Sutherland Financial Services Rule 38a-1 Resource Center for Variable Insurance Products. Rule 38a-1 imposes ongoing requirements on funds, advisers, separate accounts, and their service providers to maintain, review, test and modify the written compliance policies and procedures that have been adopted and found by the entity to be reasonably designed to prevent violations of the federal securities laws. This site provides, in one place, previously drafted Sutherland memoranda, sample matrices and other related materials pertaining to Rule 38a-1 and is meant to serve as a resource to our valued clients and friends.
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