Kicking the Tires on Your Annual Compliance Review

January 01, 2019
Investment Adviser Association Newsletter

The start of the new calendar year is an excellent occasion for investment advisers to consider the key role of the annual review within their broader compliance program under the Investment Advisers Act of 1940 (“Advisers Act”). Much can happen in a year, and advisers must consider any significant business and regulatory developments and determine whether and how to adjust existing processes, policies and procedures to meet changing circumstances.

Read “Kicking the Tires on Your Annual Compliance Review.”