Ethics & Professional Responsibility: Documenting an Annual Compliance Review

This one-hour course is designed for individuals who are involved in conducting, assisting and/or reviewing an investment adviser firm’s annual compliance review. Although this course will delve into the recent amendment to SEC Rule 206(4)-7, which mandates written documentation of annual compliance reviews, it will review the applicable requirements for state and federally registered investment advisers while offering insights and best practices for conducting comprehensive reviews to ensure regulatory compliance and mitigate risks effectively. This course provides one credit in the Ethics & Professional Responsibility category.