Product Description
Developing a strong compliance program through customized written supervisory policies and procedures is just the first step in having a strong investment adviser compliance program. Investment advisers must then make sure that the various compliance duties identified in the written supervisory policies and procedures are carried out and performed throughout the year. Developing compliance calendars or checklists is a good way to ensure that the various compliance functions are performed.
During this webinar, RIA Compliance Consultants will discuss the importance of laying out your compliance program through some type of compliance calendar or checklist. Our consultants will discuss some of the common compliance duties that should be performed by all investment advisers each year. Additionally, we will provide tips for preparing customized compliance calendars, checklists, and forms to assist investment advisers with meeting annual regulatory requirements and documenting the completion of various compliance duties throughout the year.