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Annual Review

Comply’s Annual Review Tool is built to align with SEC Rule 206(4)-7 expectations. It transforms the annual review from a once-a-year scramble into a structured, ongoing process – helping firms document compliance activities throughout the year.

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Annual Review Tool

Execute, document, and analyze compliance activities throughout the year. Comply’s Annual Review Tool aggregates evidence, tracks testing, and generates your annual review report.

  • Guided workflow aligned with the SEC’s annual review requirements
  • Breaks down each component of the annual review process into manageable sections
  • Ongoing documentation builds your final report in real-time
  • Export a comprehensive review with supporting data for regulators and stakeholders
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Annual Review - Final
Annual Review Services

Leverage Expert Support.

Need additional support? Engage our experts for hands-on guidance. Your compliance consultant will keep your firm on track with:

  • Monthly check-ins
  • Review and set up of regular compliance testing activities
  • Documentation of results
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Conduct Annual Reviews and Risk Assessments with Confidence

Compliance isn’t set-it-and-forget-it. Meet your regulatory obligation with the technology and services designed to help you comply with confidence.

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