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Annual Review

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This tool could help you with your annual review
Use this Excel spreadsheet to test the accuracy of your billing
A process for checking billing during your annual review, along with a how-to video
Charges included failing to adopt reasonably designed compliance P&Ps, not conducting annual reviews, not establishing a code of ethics, and not filing Form CRS
Click here to download a 7–column chart that you can you to help document your annual review
Managing Director Rob Tull of Progressive Compliance Advisors shares his process for conducting an annual review
Use this cheat sheet for structuring your annual review
The SEC has shared this example of a risk matrix
An Excel worksheet risk matrix to aid your annual review
SEC rules also don’t prohibit you from doing one annual review for the entire entity but be sure you conduct separate testing for each RIA, ...

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