Annual Review and Risk Assessment Tools

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.

• Centralizes the annual review process
• Breaks down each component of the annual review process into manageable sections
• Leverage the Compliance Calendar to execute compliance activities throughout the year
• Upon completion, the data is automatically aggregated, collected, and generated into a professional report available for download in a regulatory exam

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:

• Monthly check-ins
• Review and set up of regular compliance testing activities
• Documentation of results

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.

• Evaluate risk at your firm with a step-by-step series of risk items and rate each on a low, medium, or high scale
• Assess whether adequate controls are in place to manage or mitigate such risks
• Document modifications to the firm’s policies and procedures to address newly identified risks
• Easily generate a comprehensive report so you’re always prepared