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Annual Review (76)
Your search for Annual Review returned 76 results.
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3/14/2019 | Content area: Investment Adviser
Gooder can clearly do better. Grenville Gooder, Jr., a 55-year securities industry veteran, and his SEC-registered advisory firm Ascension Asset Manag...
1/31/2019 | Content area: Investment Adviser
Undoubtedly, having a process for your annual review relieves you of worry and sets the tone for accomplishing this critical task (IA Watch, Jan. 14, ...
1/14/2019 | Content area: Investment Adviser
Managing Director Rob Tull of Progressive Compliance Advisors shares his process for conducting an annual review. Tull has honed his process over the...
1/02/2018 | Content area: Investment Adviser | Private Fund
This is an example of a matrix for a firm's annual review.
3/12/2017 | Content area: Investment Adviser
Click here to open a sample risk assessment matrix contributed by one of your peers.
10/13/2016 | Content area: Investment Adviser
Along with adopting and implementing written policies and procedures reasonably designed to prevent violations of the federal securities laws and desi...
10/05/2016 | Content area: Investment Adviser
Dupree Financial’s prior CCO stepped down in May 2015, and now solely performs her administrative duties. Also in May 2015, Dupree Financial appointed...
2/11/2016 | Content area: Investment Adviser
Jotting down a note helps ensure you return from the grocery store with all the items you need so it’s likely to work for the annual review as well.  ...
11/09/2015 | Content area: Investment Adviser
Considering that all RIA CCOs must achieve an annual review each year, it’s worth hearing from a peer to gain ideas for improving your approach.   IA ...
8/18/2015 | Content area: Investment Adviser
When the SEC releases three enforcement cases on the same day – tied to the same issue – you know a message is being sent. The message: violations of ...
6/25/2015 | Content area: Investment Adviser
If your firm skimps on compliance resources and you feel you’re wearing too many hats, you might want to make the powers that be at your firm aware of...
5/19/2015 | Content area: Investment Adviser | Private Fund
Three strikes and you’re out. A critical SEC exam best practice is to make sure you address and correct deficiencies previously cited by the Commissio...
4/30/2015 | Content area: Investment Adviser | Private Fund
      Investment Company Act of 1940 — Section 12(d)(3) Adams Diversified Equity Fund Inc. April 30, 2015 RESPONSE OF ...
3/05/2015 | Content area: Investment Adviser | Private Fund
It’s right there in black and white in current SEC exam document request letters. Before arriving on-site at an advisory firm, Commission examiners ar...
2/03/2015 | Content area: Investment Adviser | Private Fund
Believe it or not it’s been more than 10 years since the annual review requirement came into place. While the annual review can seem like a never-endi...
1/05/2015 | Content area: Investment Adviser | Private Fund
These are instructions for how to conduct a transaction analysis for forensic testing around trading. This comes courtesy of Krista Zipfel, CEO/presid...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
Every registered unit investment trust shall file an annual report on Form N-SAR with respect to each calendar year not more than sixty calendar days ...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Each registered investment company and business development company (“fund”) must: (1) Policies and procedures. Adopt and implement written polici...
4/14/2014 | Content area: Investment Adviser | Private Fund
One test to help you assess whether clients are being treated fairly is to examine performance dispersion. Run a report on performance of all client a...
2/03/2014 | Content area: Investment Adviser
Two years after SEC commissioners failed to advance the case against former Ferris, Baker Watts General Counsel Ted Urban (IA Watch, Feb. 6, 2012), co...


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