Annual Review

A guide to conducting an annual compliance review from William Edick, a partner at Pickard & Djinis in Washington.

If you determine you lack the resources to properly do the job, notify senior management but be specific. "To say you're overwhelmed is not enough," ...

An example of a compliance calendar to help you build efficiencies into your program, courtesy of Krista Zipfel, CEO & President of the Advisor Solutions ...

A compliance log in an Excel format provided courtesy of Christina Sears, CCO at American Beacon Advisors in Fort Worth, Texas. This tool contains separate ...

Compliance officers face an obligation each year to review their firm's policies and procedures. While RIAs are under no legal obligation to produce an annual ...

The annual review this year at Sectoral Asset Management in Montreal took longer and was more detailed than usual. One reason: CEO/CCO Jerome Pfund tried ...

A tool to use for forensic testing. This is an ideal cover sheet for each test, courtesy of David Hunt of Dallas.

A tool to help you track compliance issues within your firm.

A list of 10 topics investment adviser CCOs should consider when doing their annual reviews.

One of the repercussions of the Bernie Madoff scandal could be an unleashed inspection staff at the SEC. "Clearly the SEC's been burned by the ...