Product Description
September 20, 2018
Rule 206(4)-7 under the Investment Advisers Act of 1940 requires SEC registered investment advisers to review their written policies and procedures, at least annually, to determine their adequacy and the effectiveness of their implementation. Although this has been a requirement since the rule became effective in 2004, this is still an area where we commonly see regulatory exam deficiencies. During this webinar, RIA Compliance Consultants will review the requirements of Rule 206(4)-7. We will discuss the importance of conducting these reviews beyond the regulatory requirements and who should be involved in the review process. Additionally, we will provide tips for how the review should be conducted and documented.