In August 2023, the SEC’s final private-fund-advisor rule, the Investment Advisers Act Compliance Rule, was amended to mandate that these annual reviews must now be documented in writing. In light of this, many firms may be reviewing their review and testing procedures, examining how certain practices have worked in the past and whether those same processes will continue to work in the future.
Join this webinar to learn about 8 key areas that should be included in your review, including:
- Advertising and Marketing
- Advisory Agreements
- Form ADV
- Custody
- Best Execution
- Disaster Recovery
- Books and Records
- Investment Process/Portfolio Management
This webinar covered tips for using technology to conduct your annual compliance meeting and effectively document your review.
Please note: 1 IACCP continuing education credit was offered for this webinar. Credits are not available for watching the recording.
