Get the checklist for annual review success and along the way discover the right solution for your firm…whether that’s an expert or an automated solution.
In accordance with Rule 206(4)-7, investment advisors are required to perform an annual review of all compliance processes. And whether your review occurs every December or May, the process is critical to ensuring your firm remains in compliance, staving off regulatory action and the associated fines and penalties.
This webinar will cover:
- Your checklist for a successful annual review: Everything you need to know to ensure you don’t run into unexpected violations.
- Why technology could be the answer for you: The ongoing benefits that come with compliance process automation.
- When to bring in an expert: How to identify when you might need the outside help of an expert.
- How we can help: Within our family of companies, we are able to offer both a technology-backed solution and an expert advisor to help guide your process.
