Investment Advisers must perform an annual evaluation of the effectiveness of their compliance program. This starts with ensuring, maintaining and implementing reasonably designed policies and procedures. This ComplianceCast webinar covers the recent regulatory changes that may trigger a need to reevaluate your present policies.
- Who Conducts and How to Conduct the Annual Review
- Planning and Documenting the Annual Review
- Testing the Adequacy and Effectiveness of Policies and Procedures
- Reporting Annual Review Findings
- Responding to Issues Identified by the Annual Review
- Common Deficiencies with Annual Reviews
Korrine Kohm, Director of Retail Wealth Manager Services – CSS
Victoria Olson, Consultant – CSS
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