Whether you’re a new RIA just starting out, or a large PE firm looking to reevaluate your annual review action items in light of recent rulemaking, this guide will provide the backbone for a comprehensive review and assessment of your program.
Download COMPLY’s 2024 Annual Review Guide to learn:
- The rules and regulations around annual review requirements.
- How to conduct an annual review of your procedures.
- Tips on reporting and documenting your annual review.
- Key regulatory updates from 2023.
- How to leverage technology to navigate your annual compliance review.
