The knowledge hub for the 2022 IAA Investment Adviser Compliance Conference presentation, “Annual Reviews,” presented by CEO Michelle L. Jacko.
Presentation Slides
Supplemental Materials
- SEC Risk Alert – Investment Adviser Compliance Programs, November 2020
- IA Compliance Program Essentials
- Core Compliance RMU – Considerations for Advancing Your Compliance Program, January 2021
- JLG Blog Post – What the SEC Really Wants to Find in Your Firms Compliance Manual
- Sample Compliance Review Sheets 2022
- SEC Speech – Managed Funds Association Educational Seminar Series 2005 – Practical Guidance for Hedge Fund CCOs – May 5 2005, Gene Gohlke
- SEC Speech – Put The Compliance Rule To Work – IA Compliance Best Practices Summit – March 15 2004, Lori A. Richard
- SEC Questions Advisers Should Ask When Reviewing Compliance Programs – May 2006
- Top 10 Considerations for IA Annual Reviews