2022 Investment Adviser Compliance Conference – Annual Reviews
2022 Investment Adviser Compliance Conference | March 3, 2022 | Speakers: Michelle L. Jacko
Dually Registered Firms: Steps for Performing an Efficient Annual Review and Gap Analysis
In accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940 (the “Act”), as amended, an investment adviser (“RIA”) registered with the Securities and Exchange Commission (“SEC”) is required to conduct an annual compliance review to assess the adequacy … Read More
Area of Focus for Your Annual Review: Books and Records
The annual review is one of the three (3) pillars of Rule 206(4)-7 (“the Compliance Rule”) of the Investment Advisers Act of 1940 (“the Advisers Act”). The rule requires SEC-registered investment advisers (“RIAs”) to annually review “the adequacy of the … Read More
Episode 80: Vital Considerations for Conducting an Annual Review
On episode 80 of the CCO Buzz, Core Compliance discuss vital considerations for conducting an Annual Review.
Your Annual Review: Cybersecurity and Privacy
The annual review is one of the three (3) pillars of Rule 206(4)-7 (“the Compliance Rule”) of the Investment Advisers Act of 1940 (“the Advisers Act”). The rule requires SEC-registered investment advisers (“RIAs”) to annually review “the adequacy of the … Read More
Episode 78: Compliance Program Requirements for Registered Investment Companies
On episode 78 of the CCO Buzz, our Senior Compliance Consultant discusses Rule 38a-1 under the Investment Company Act of 1940 and the requirements within compliance programs for Registered Investment Companies.
NASAA Released Proposed Model Compliance Rule
On July 2, 2020, the North American Securities Administrators Association (“NASAA”) released a notice for public comment on its proposed model rule for investment adviser written policies and procedures (“the Model Rule”) under the Uniform Securities Acts of 1956 and … Read More
Episode 76: Making the Most of Your Annual Review Testing Opportunities
On episode 76 of the CCO Buzz, Core Compliance discusses how to make the most of your Annual Review through simultaneous testing opportunities.
Top 3 Considerations for Conducting an Annual Review
Under Rule 206(4)-7 (“Compliance Rule”) of the Investment Advisers Act of 1940 (“Advisers Act”), Investment Advisers (“RIAs”) that are registered with the Securities and Exchange Commission (“SEC”) must perform an annual review of the RIA’s policies and procedures (“P&Ps) to … Read More
Episode 62: End of Year Books and Records Retention Review
Core Compliance offers advice for your end of year books and records retention review on episode 62 of the CCO Buzz.