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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
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
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, ...
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 ...
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