The SEC requires every registered investment adviser to complete an annual review — and since 2023, those reviews must be documented in writing. For many firms, especially growing RIAs and those newly registered, this requirement can feel overwhelming.
Join Comply’s experts as we break down the annual review and risk assessment process into practical, actionable steps you can take right now to make your review less painful – and far more effective.
In this webinar, you’ll learn:
- The 8 key areas your annual review must cover
- How to integrate your risk assessment into your review for stronger outcomes
- Practical tips to streamline preparation and documentation
- Ways technology can help you reduce manual work and pass SEC scrutiny with confidence
Whether you’re building your compliance program from the ground up or refining what you already have, this session will give you the tools and insights you need.