Core Compliance’s recent article, “The Adviser’s Guide to Effective Annual Reviews,” was published in the April 2026 issue of the NSCP Currents Newsletter. In the article, we discuss how investment advisers can transform the Annual Review into a meaningful, risk-driven … Read More
Under Rule 206(4)-7 of the Investment Advisers Act of 1940, Investment Advisers (RIAs) registered with the Securities and Exchange Commission (SEC) are required to conduct an annual review of their compliance program[1]. This review is designed to evaluate whether the … Read More
Under the Compliance Rule (Rule 206(4)-7) of the Investment Advisers Act of 1940, Investment Advisers (RIAs) registered with the Securities and Exchange Commission (SEC) are mandated to conduct an annual evaluation of their policies and procedures (P&Ps) to assess their … Read More
2022 Investment Adviser Compliance Conference | March 3, 2022 | Speakers: Michelle L. Jacko
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
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
On episode 80 of the CCO Buzz, Core Compliance discuss vital considerations for conducting an Annual Review.
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
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. (GUITAR INTRO) CCO Buzz: Hello and welcome back to … Read More
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