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 ...