Episode 59: Preparing for Year-End
On Episode 59, we summarize our year end compliance checklist to help ensure all applicable compliance filings and reviews get completed.
Episode 57: Is Your Business Continuity Plan Adequate and Effective?
On Episode 57, we discuss the essentials of an effective Business Continuity Plan.
Episode 53: Cybersecurity Testing
On episode 53 we discuss a key component of a firm’s annual review – Cybersecurity Testing.
Cybersecurity Testing as Part of the Annual Review
Firms registered with the Securities and Exchange Commission (“SEC”) are mandated by Rule 206(4)-7 (“Compliance Rule”) to perform an annual review of their policies and procedures, and a key component of a firm’s annual review should include cybersecurity testing. Cybersecurity … Read More
NSCP Webinar: Enhancing Your Annual Review Process
July 30, 2019 @ 11 AM PST/ 2:00 PM EST | Speaker: Tina Mitchell, Lead Sr. Compliance Consultant
Episode 45: P&P Manual Updates
On episode 45 we’re here to discuss the pillars of the “compliance rule.”
The Art to Performing Annual Reviews
Annual reviews are a required compliance task that must be completed by all investment advisers registered with the Securities and Exchange Commission (“SEC”). However, many investment advisers may not understand the regulatory intent and expectations for performing the mandatory annual … Read More
5 Types of Documentation You Should Be Reviewing Annually
With 2017 rapidly coming to a close, you’re probably thinking about Christmas and your end-of-year vacation. You also may be putting the last touches on your company’s annual review. The Securities and Exchange Commission (“SEC”) has required advisory firms to … Read More