Conducting Your RIA Firm's Annual Compliance Review

Under Rule 206(4)-7 of the Investment Advisers Act of 1940, RIA firms are required to conduct an annual compliance review including the adequacy and effectiveness of the firm's policies and procedures. We often find that RIA firms run into preventable compliance issues by failing to thoroughly perform and document the completion of the mandatory annual compliance program review. Join Chad Hartwick, Compliance Director at RIA in a Box for an overview on conducting your firm’s annual review. Topics to be discussed include:
 

- Conducting a risk assessment

- Advisory document review

- Policies and procedures manual review

- Holding a firm-wide annual compliance meeting