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Annual Review

Another test this CCO does routinely really paid off this year. The CCO keeps a spreadsheet listing items from recent OCIE document request letters and ...
This is an example of a matrix for a firm's annual review in an Excel format
This guide was designed to help private fund advisers with their annual review. It comes courtesy of Karen Huey of Professional Compliance Assistance in Woodstock, ...
Create a spreadsheet at the start of the year that features a gap analysis of your compliance manual
A process for checking billing during your annual review
Gooder can clearly do better. Grenville Gooder, Jr., a 55-year securities industry veteran, and his SEC-registered advisory firm Ascension Asset Management ($152M in AUM), were ...
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, ...
Managing Director Rob Tull of Progressive Compliance Advisors shares his process for conducting an annual review. Tull has honed his process over the years as ...
The custody rule is designed to protect advisory clients from the misuse or misappropriation of their funds and securities. It requires that registered advisers who ...
Imagine informing your regulator about the need for more compliance resources. In effect, that’s one of the elements the CFTC will require in the annual ...
Along with adopting and implementing written policies and procedures reasonably designed to prevent violations of the federal securities laws and designating a CCO to administer ...
Dupree Financial’s prior CCO stepped down in May 2015, and now solely performs her administrative duties. Also in May 2015, Dupree Financial appointed a new ...
Futures commission merchants, swap dealers and major swap participants will get an extra 30 days to file their chief compliance officer annual reports under proposed ...
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 ...
Recorded: February 9, 2016
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. ...
When the SEC releases three enforcement cases on the same day – tied to the same issue – you know a message is being sent. ...
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 ...
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