Annual Review

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

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

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