2c. IA/PF—Compliance Testing, Surveillance, and the Annual Review (Intermediate)

Rule 206(4)-7 requires advisers to conduct an annual review of the adequacy and effectiveness of their policies and procedures and document the results of that review.  But what, exactly, does that entail?  In this session, participants will learn effective methods and best practices for administering an effective annual review and managing the review’s underlying components.  This session is open to regulators but closed to members of the press.

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