Year-End Compliance Review for Investment Advisers

Our goal is to help investment advisers understand their annual requirements. During this session, we will:

  • Evaluate compliance with 2017 year-end action items;
  • Review compliance with annual testing requirements or 206(4)-7 annual review; and
  • Discuss trending industry topics and recent SEC priorities including Custody, Form ADV Part 1 new requirements, and past/current exam priorities.