It’s In Review

Everything You Need to Know to Perform Your Annual Review

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Every year the annual review process brings stress, headache, and the inevitable question: Is my annual review process thorough enough or will I face potential violations?

According to Rule 206(4)-7, investment advisors are required to perform an annual review of all compliance processes. But that doesn’t mean your annual review are required to cause an annual headache.

The What

Everything You Need to Know to Perform Your Annual Review

Ready to get a jump start on your annual review? Or looking to dig a little deeper into what you should or should not be including in your review process?

Make sure your review includes:

  1. Any and all regulatory developments that have taken place during the past year.
  2. Each of your firm’s documents for accuracy and relevancy to your firm’s current business practices.
  3. All advertising materials to ensure compliance with the firm’s policies and procedures.
  4. Your client holdings and fees charged.

Not sure you’ve checked all your boxes? Stay on track and in compliance, download our full Annual Review Checklist now!

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The How

The Best Processes to Perform Your Review

Whether you’re a small firm looking for a DIY solution, or an enterprise level organization in need of expert help, finding the best process for your compliance team is crucial to your success.

Tech-Enabled – RIA in a Box

A technology-enabled DIY solution might be the right fit for you if:

  • You’re looking for a long-term solution to help aggregate your data and compliance processes
  • You have a team in place, but need a solution to help you get out of Excel
  • You could benefit from ongoing automation year round

The Benefits of our Technology Solution:

We offer an easy to use, technology-enabled solution that allows you to fulfill your annual review requirements at your pace. By aggregating your program’s documentation and data within one centralized system, your compliance team is better able to manage and monitor risk throughout the year. 

Our Technology Solution Includes:

Centralized annual review process broken down into manageable sections and culminating in a detailed annual review report is automatically generated and available for download.

  • Firm Background
  • Risk Assessment
  • Annual Review Checklist
  • Review of Key Regulatory Developments
  • Review Compliance Manual and Advisory Documents
  • Staff Compliance Training
  • Final Summary Comments/Observations

Ask The Expert – NRS Consultants

Leveraging expert help might be the right solution for you if:

  • You need a short-term, right now solution
  • You don’t have the manpower to complete your annual review process and might not have it next year either
  • You lack a technology solution that would aggregate the necessary data and documents to efficiently proceed with the annual review process

The Benefit of Asking our Experts:

Unparalleled knowledge and experience to help guide not only your annual review, but your entire compliance program.

Our Expert Help Includes:

Depending on the complexities and needs of your firm, we will assign a certain number of consultants to work with you over a set number of days.

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Annual Review Checklist and Infographic

Not sure you’ve checked all your boxes? Stay on track and in compliance, download our full Annual Review Checklist and Infographic now!

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