Practical Steps to Strategic Year-End Compliance

SEC Rule 206(4)-7 requires registered advisers to review policies and procedures at least annually to ensure that they are both adequate and effectively implemented. Year-end is the optimal time for firms to conduct internal assessments of their compliance program to be ready for the annual review and to set the stage for a successful 2024.

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Better Risk and Compliance Through Holistic Oversight

In order to be effective advisors, Chief Compliance Officers must have a clear and holistic view of their organization’s risk profile. A clear and holistic view of risk helps compliance set regulatory priorities, identify gaps in policies and procedures and streamline operations. 

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