“If we are examined by the SEC, we can easily prove that we conducted certifications and were collecting employee holdings and transaction information on a quarterly basis.” – CCO at a Hedge Fund
Annual Reviews and Risk Assessments are critical tools for registered firms to test and analyze their compliance programs. With SEC enforcement actions and penalties reaching record highs in the last few years, it’s never been more crucial. Don’t leave your firm’s compliance to chance. Ensure your program, and its foundational policies and procedures, are effective in managing and mitigating risk.
Conduct comprehensive testing and review of your entire program with COMPLY’s guided, digital, and documented annual review solution. Effectively comply with SEC Rule 206(4)-7 under the Advisers Act and Rule 38a-1 under the Company Act, including the recently passed documentation requirement.
Too busy to DIY? Engage expert support and hands-on guidance for your Annual Review with our software and annual review services. Your expert compliance consultant will keep your firm on track with:
Compliance risk and regulatory requirements constantly evolve, placing increased pressure on compliance programs to expect the unexpected, proactively addressing risks before they pose a threat to the firm. Identify risks before they become a reality with COMPLY’s Risk Assessment Tool.
“If we are examined by the SEC, we can easily prove that we conducted certifications and were collecting employee holdings and transaction information on a quarterly basis.” – CCO at a Hedge Fund
“Wearing two hats, I was very busy doing manual compliance tasks which were not the best use of my time and there were other things I could be doing that would be more beneficial to the firm. I knew the way we were doing things before was never going to scale going forward, considering our aspirations for growth.” – David Becker, CFIP
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Compliance isn’t set-it-and-forget-it. Meet your regulatory obligation with the technology and services designed to help you comply with confidence.
Download COMPLY’s Annual Review Guide for an analysis of the annual review process, testing protocols, and documentation requirements.
