Video About Conducting An Annual Review of an SEC Registered Investment Adviser
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Uploaded by RIACompliance on Jun 29, 2011
This video provides tips for conducting an annual review for an SEC investment adviser. For more compliance tips visit www.ria-compliance-consultants.com.
During this video, RIA Compliance Consultants discusses the requirement under the Investment Advisers Act of 1940 and similar state regulations for an investment advisor to conduct an annual review of its written compliance policies and procedures. One of our compliance consultants discuss who should be involved in an investment advisor's annual compliance review process and the purpose of conducting the review. This webinar also focus on providing tactical tips for a chief compliance officer conducting an annual compliance review and documenting his or her findings.
RIA Compliance Consultants, Inc. is a compliance consulting firm. It is not a law firm and does not provide legal services.
This video is offered only for educational purposes, is limited, and may not apply to an investment adviser's specific situation. There is no warranty or guaranty associated with this video. Viewing this video does not constitute an engagement with RIA Compliance Consultants, Inc. and should not be considered a substitute for engaging a compliance professional.
For more information about RIA Compliance Consultants, Inc. and our services, please visit www.ria-compliance-consultants.com
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